Technical Report 532

SENIOR LEADERSHIP: AN ANNOTATED

BIBLIOGRAPHY OF THE MILITARY AND

NONMILITARY LITERATURE

Melvin J. Kimmel

LEADERSHIP AND MANAGEMENT TECHNICAL AREA

DTIC

S.JUN 2 aM2

U.S. Army

Research Institute for the Behavioral and Social Sciences

i-JJune 1981

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Technical Director Commander

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SENIOR LEADERSHIP: AN ANNOTATED BIBLIOGRAPHY OF Technical Report

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Senior leadership Leadership skills Leadership

Colonels Leadership functions Management

General officers Management skills

Executives Management functions

2G. AEST"ACT (Coatbt as reme / i f n eIta mad idetify by block numiber)

-A literature search was performed to determine the state-of-the-art of

research and theory on senior leadership skills, functions, activities, and

other job related characteristics. One hundred thirty-five military and nonmilitary contributions were annotated and organized into three sections:

Summary literature, Empirical literature, and Nonempirical literature. Within

each section the contents of each reference were classified as to (1) %Organization TypeP (military, nonmilitary, or military-nonmilitary comparison),

(Continued)

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(2) "Target Population # (senior leaders only or level comparison literature),

and (3) *Subject Matter' (focus on senior leader competencies--i.e., personal

qualities, skills, abilities, etc.--and/or job-related variables).

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Technical Report 532

SENIOR LEADERSHIP: AN ANNOTATED

BIBLIOGRAPHY OF THE MILITARY AND

NONMILITARY LITERATURE

Melvin J. Kimmel

Submitted by: T. Owen Jacobs, Chief

LEADERSHIP AND MANAGEMENT TECHNICAL AREA

Approved by:

Cecil D. Johnson. Director

MANPOWER AND PERSONNEL

RESEARCH LABORATORY

U.S. ARMY RESEARCH INSTITUTE FOR THE BEHAVIORAL AND SOCIAL SCIENCES

5001 Eisenhower Avenue, Alexandria. Virginia 22333

Office, Deputy Chief of Staff for Personnel

Department of the Army

June 1981

Army Project Number Leader Development

20263731 A792

Approvd for Dublic rlease: distribution unlimited.

i.I
ARt Research Reports and Technicat Reports are intended for sponsors of

R&D tasks and for other research and military agencies. Any findings ready

for implementation at the time of publication are presented in the last part

of the Brief. Upon completion of a major phase of the task, formal recommendations for official action normally are conveyed to appropriate military

agencies by briefing or Disposition Formn.

iv
FOREWORD

The Leader Development Team of the U.S. Army Research Institute for the

Behavioral and Social Sciences (ARI) is involved in research and development

to improve the effectiveness of Army leadership. Its current focus is the

identification of required skills and functions at all command levels and

the subsequent development of assessment and training programs.

This Technical Report provides an annotated bibliography of the senior

leadership literature with an emphasis on necessary skills and functions.

It includes theoretical and empirical contributions from military as well as

nonmilitary sources and organizes the literature according to content area

and nature of the publication.

The research effort is responsive to the requirements of RDT&E Project

2Q26371A792, Leadership and Management Technical Area of the FY 81 ARI work

program.

'\R

Teihnical Director

v
SENIOR LEADERSHIP: AN ANNOTATED BIBLIOGRAPHY OF THE MILITARY AND NONMILITARY

LITERATURE

BRIEF

Requirement:

To compile and organize the existing literature on senior leadership

skills and functions.

Procedure:

Literature on senior leadership was compiled through library searches

and consultations with leadership/management experts from academia, industry

and the military. Published and unpublished manuscripts were reviewed for

their relevance to the required functions and competencies of effective senior

leaders at the colonel and general offices level. The most relevant contributions

were abstracted and organized into three sections: Summary Literature (i.e.

manuscripts providing a general overview of the field); Empirical Literature

(i.e. research-based contributions); and Nonempirical Literature (i.e. a

representative sample of theories and personal opinion essays). Within the

sections each reference was classified according to its content area on three

dimensions: "Organization Type" (military, nonmilitary or military-nonmilitary

comparisons): "Target Population" (senior leaders or level-comparisons): and

"Subject Matter" (senior leader competencies and/or job related variables).

Findings:

(1) Of the 135 contributions abstracted, 28 items summarized the existing

literature, 64 were research-based, and 43 were theoretical or personal opinion

essays.

(2) Twenty-five items focused on military leadership, 98 dealt with the

industrial/private sector and 12 involved comparisons between the two.

(3) One hundred twenty four items dealt specifically with senior leadership. The remaining 11 dealt with general theoretical issues.

(4) Of the 124 senior leadership contributions, 77 discussed only senior

leaders and 47 compared senior leaders with lower-level management.

vii

m I m 1 1 I . . . .
(5) Fifty-six senior leadership items focused on senior leader competencies,

30 concerned themselves mainly with the senior leader's job and 38 dealt with

both competencies and job related variables.

(6) Of the 11 general-issue items, six discussed the relationship between

leadership and management, while five described similarities and differences

between military and nonmilitary environments.

Utilization of Findings:

This bibliography will be of immediate value to researchers, instructors

and military leaders concerned with leadership training and development requirements

at senior levels. In addition, it will form one basis for research and development

in this area.

viii
SENIOR LEADERSHIP: AN ANNOTATED BIBIOCRAPHY OF THE

MILITARY AND NONMILITARY LITERATURE

CONTENTS

Page

INTRODUCTION ............................................................. I

SUMMARY LITERATURE ....................................................... 5

EMPIRICAL LITERATURE ....................................................... 18

NONEMPIRICAL LITERATURE .................................................... 43

LIST OF TABLES

Table 1, Descriptive Contents of Summary Literature ..................... 8

2. Descriptive Contents of Empirical Literature...................20

3. Descriptive Contents of Nonempirical Literature ............... 46

ix
INTRODUCTION

Orqanizations need competent leaders at all command levels to efficiently

and effectively accomplish their missions. Recognizing this, the Army has

done a great deal of its own research and borrowed extensively from the nonmilitary sector to learn about the necessary skills, personal qualities,

abilities, and knowledge requirements of competent leaders. The bulk of this

literature concentrates on leadership at the lower command levels, while research on senior leaders (colonels and general officers) has been largely ignored. Since tasks, responsibilities, and functions differ according to rank,

it may be that the necessary competencies differ as well, and this literature

may not be totally applicable to leaders at the colonel and general officer

level. A requirement therefore exists for a research program that focuses

specifically on the necessary senior leadership competencies to determine how

relevant the current literature is to these higher level positions. This

type of research program seems especially important since these senior leaders iave the broadest impact on the Army's overall effectiveness.

The Army Research Institute has initiated a program to meet this need.

Before formulating researchable hypotheses and carrying out a comprehensive

research program, it was necessary to first discover what already had been

done in the area to avoid "re-inventing the wheel." Literature searches

were undertaken at a number of libraries including the Library of Congress,

several college and university libraries, and the U.S. Department of the Army

Library, Headquarters; leadership experts from academia, industry, and the

military were consulted; and hundreds of books, popular magazines, journal

articles, technical reports, and unpublished manuscripts were reviewed.

This annotated bibliography is a product of these efforts. It contains

135 items from both the military and nonmilitary sectors on senior leadership

1
functions and the knowledge, skills, and personal qualities needed to offectively perform these functions. The majority of the listings are researchbased. However, a number of theoretical works, personal opinion essays, and

other nonempirical contributions have also been included to serve as possible

sources of researchable hypotheses.

The bibliography does not claim to include all the relevant literature

on the subject. For example, much of the training and development literature

has not been annotated because recent bibliographies already exist in the

1 area. Also, the great bulk of the leadership, management, and organizational

literature is omitted because much of it either does not distinguish among

managerial levels or focuses only on lower management levels. To learn about

these possible level differences, items have been included that compare

hierarchical levels, however.

The bibliography is especially selective regarding the nonempirical literature. Literally hundreds of "cookbooks" have been published expressing

one person's opinion of what it takes to be an effective executive. Because

they are not based on empirical evidence, and, for the most part, differ very

little from each other, only a representative sample of these items has

been included.

The annotated items are divided into three broad sections according to

the general nature of the publication. Section 1 contains materials summarizing the existing literature and provides a general overview of the

field. Section 2 compiles the research-based literature. Most of the items

1

For an excellent annotated bibliography on military training and development,

see Taylor, R. L. LTC & Wall, D. W. CPT. Air Force Professional Military Education and Executive Leadership and Management Development. A Summary and

Annotated Bibliography. USAF Academy, COLO: Dept. of Economics, Geography

and Management, January 1980. The nonmilitary literature is adequately covered

in Margerison, C. J. & Huter, N. Management and Organization Development

Bibliography. West Yorkshire, England: MCB Publications, 1975.

2
in this section report original research, while some describe earlier research programs. Section 3 includes the nonempirical contributions. These

are largely conceptual pieces based on personal experiences rather than systematic research efforts.

References are arranged alphabetically within each section, and assigned

a hyphenated, three-digit classification number (e.g., "1-01"). The first

digit identifies the section in which the listing appears (1 - Summary Literature; 2 - Empirical Literature; 3 - Nonempirical Literature). The two

numbers following the hyphen refer to the item's location within that section.

Thus "1-01" would refer to the first item in the Summary Literature Section;

"2-10" to the tenth listing in the Empirical Literature Section, etc.

A brief introduction precedes each section, summarizing its content.

Each introduction includes a table which classifies the section items on

three dimensions: "Organization Type," "Target Population," and "Subject

Matter." With respect to "Organization Type," most items can be classified

as being concerned with either the military or the nonmilitary sector. However, some of the literature deals with comparisons between the two sectors.

These are classified under the subdivision "Mil-Nonmil Comparison." Two

classifications exist for "Target Population." The subdivision "Senior

Leaders" contains items dealing with the characteristics of top management

only, while the literature under the "Level Comparison" subdivision contrasts

senior leaders with lower level management. The third dimension, "Subject

Matter," describes the item's content. Some items concern skills, abilities,

personal qualities, and/or knowledge requirements of senior leaders. These

are classified under the "Competencies" subdivision. Other items are concerned with the nature of the positions senior leaders hold, rather than

with specific competencies needed for those positions. Included here are

3
items discussing functions, roles, job-related activities, position descriptions, and other variables more characteristic of the organization than the

individual. Items in this category are classified under the "Job-Related

Variables" subdivision. Items concerned with both competencies and jobrelated variables are listed under each of the two subdivisions.

The items are listed in the tables according to the last two digits of

their identification number. The first digit, which identifies the section,

has been omitted since all items in a particular table are contained within

the same section.

Although the bibliography is not exhaustive, we have attempted to include as many of the truly significant items as could be found, read, and

evaluated. Given the unstructured state of the literature (and the present

author's personal biases), it would not be surprising to learn that some

sicnificant contributions have been unintentionally omitted. Should the

reader note such omissions, a phone call or a letter would be sincerely

appreciated.

4
SECTION 1: SUMMARY LITERATURE
The 28 items in Section 1 provide a general overview of the field inasmuch as they either summarize the existing literature or raise general issues that are relevant to senior leadership competency. Sixteen of the

listings review the empirical and theoretical literature; two are edited

volumes (one of these (10) is a compilation of nonempirical essays and the

other (27) contains research literature); and 11 deal with general theoretical issues relevant to but not specifically concerned with the study of

2

necessary senior leadership competencies and functions.

Table 1 describes the content of these 28 listings according to the

classification system outlined earlier. The majority of these listings

deal specifically with senior leadership competencies from the nonmilitary

sector. Of the military contributions, one (14) reviEds the general officer

literature, two (05, 24) summarize the competency literature from both military and nonmilitary sectors, and one (03) reviews studies related to the

transferability of skill requirements from military to nonmilitary sectors.

The general-issues items are listed only under "Organization Type" in

Table 1 sincc they do not specifically deal with senior leadership competencies. Six of the general-issues listings (03, 09, 11, 15, 19, 21) concern

the question of generalizability between military and nonmilitary sectors.

The military has repeatedly borrowed from the private sector to develop its

ma.nagement and training philosophy. This implies acceptance of the assumption that the two sectors are sufficiently similar to warrant the direct

transfer of management techniques, theories, and research findings. The

six items discuss the validity of this assumption. The remaining five general-issues items (08, 17, 23, 26, 28) discuss the similarities, differences,

2

One of the listings (03) is both a literature review and a general-issues

item. Hence the three types of listings discussed in this paragraph adds to

29 rather than 28 (the actual number of section listings).

6
and relative importance of the two major components of senior level positions: "Leadership" and "Management." Three of these items (08, 17, 23)

specifically refer to leadership versus management in the military and hence

are classified under the "Military" subdivision in Table 1. The remaining

two leadership/management items (26, 28) do not specifically mention the

military and are classified in the "Nonmilitary" subdivision.

7
Table 1

Descriptive Contents of Summary Literature (Section 1)

Organization Type Target Group Subject Matter

Non- Mil-Nonmil Senior Level Job-Related

Military military Comparison Leaders Comparisons Competencies Variables

05 01 03 01 04 01 01

OU 02 09 02 05 02 04

14 04 11 06 12 04 06

17 06 15 07 13 05 10

23 07 19 10 20 07 12

24 10 21 14 22 10 16

12 16 25 12 18

13 18 13 22

16 24 14 24

18 27 18 27

20 20

22 24

25 25

26 27

27

28

i m • • • m I
1-01. Argyris, C. Research trends in executive behavior. Advanced Management, 1956, 21(3), 6-9. (Also in P. D. Grub & N. M. Loeser

(eds.). Executive Leadership: The Art of Successfully Managing

Resources. Wayne, PA: MOI Publications, 1969, pp. 429-434.)

Much of this article is a summary of Argyris' earlier writings on the need for executive training in human relations skills

and participative management. The author's basic tenet is that

executives must recognize the importance of building an organizational climate enhancing personal growth and development. Such a

climate is fostered by free and open communication and sensitivity

to own and others' feelings. This "humanistic" philosophy rests

on the assumption that the creation of a trusting atmosphere will

decrease employee apathy and increase individual satisfaction,

group morale, the motivation to produce and, ultimately, productivity itself.

1-02. Bahn, C. Can intelligence tests predict executive performance? Personnel, 1979, 56(4), 52-59.

After summarizing research on the predictive power of intelligence tests at the executive level, Bahn concludes that a fairly

high level of intelligence is needed to perform the executive

functions but the exact level depends upon situational factors

such as subordinate intelligence and the degree to which the job

requires abstract thinking. He suggests the use of intelligence

tests as one of several indicants of competence in executive selection and assessment.

1-03. Biderman, A. D. Where do they go from here--retired military in America.

Annals of the American Academy of Political and Social Sciences, 1973,

406, 141-161.

After reviewing earlier studies on jobs taken by retired Army

officers (of all ranks), the author concludes that skills learned in

the military are transferrable to the industrial community. A 1966

study of 20,000 retired officers (mostly MAJs and LTCs) reported

that 20% held managerial positions in industry, while an earlier

survey found that almost one-half of the officers sampled accepted

jobs in industry.

1-04. Campbell, J. P., Dunnette, M. D., Lawler, E. E., III, & Weick, E. K.,

Jr. Managerial Behavior, Performance and Effectiveness. New York:

McGraw-Hill, 1970.

This often cited book provides a comprehensive summary and

critique of the managerial effectiveness literature prior to 1970.

The following chapters are especially relevant to managerial skills

and characteristics: Chapter 2 (Determiners of Managerial Effectivene-s), Chapter 4 (Describing the Managerial Job), Chapter 5

(Defining and Measuring Managerial Effectiveness), Chapter 6 (Possible Predictors of Managerial Effectiveness), Chapter 8 (Research

Results: Actuarial Studies of Managerial Effectiveness), Chapter 9

(Research Results: Clinical Studies of Managerial Effectiveness),

Chapter 15 (Managerial Motivation), and Chapter 17 (Managerial

Style: Research Results and a Social Psychological View). A major

theme of this volume is that managerial effectiveness is a function

9
of complex interactions between abilities, motivation, and the

social and organizational environment. It rejects the static

model used by most researchers of studying persons, jobs, and/or

their interaction at one point in time, arguing that one must

recognize "change" as an important characteristic of organizational life. While top managers are not the prime focus, they

were represented in many of the studies cited involving level

comparisons.

1-05. Clement, S. D. & Ayres, D. B. A Matrix of Organizational Leadership

Dimensions. Leadership Monograph Series No. 8. Ft. Benjamin

Harrison, IN: U.S. Army Administration Center, 1976.

This is a monograph in the U.S. Army War College "Leadership

for the 197 0s" series (see also 2-40, 2-57). It describes a taxonomy of nine management and leadership dimensions and the specific

behaviors associated with each, according to rank level (lieutenant

through general officer). This taxonomy was developed from an

analysis of the leadership and management literature, with special

emphasis on the behavioral studies in the Ohio State/University of

Michigan tradition. The resulting nine dimensions are Communication, Human Relations, Counseling, Supervision, Technical, Management Science, Decision Making, Planning, and Ethics. In describing

these dimensions by rank level, the author suggests there is less

of a need for technical and leadership skills (i.e., human relations, Counseling, Supervision) and an increasing need for ethics

(creating codes of behavior) and conceptual skills (Decision Making,

Planning) as one ascends the organizational hierarchy. Communication skills remain extremely important at all levels, while the

Management Science (i.e., administrative) skills are considered less

important for colonel/general officers than for mid-level positions.

1-06. Cooper, C. C. & Marshall, J. Occupational sources of stress. Journal of Occupational Psychology, 1976, 49, 11-28.

After reviewing the literature on sources of occupational

stress, the authors conclude that stress and stress-related illness

increase at higher management levels because the situational factors associated with stress are more prevalent at these higher

levels. Among these sources of stress are information overload,

role conflict, role ambiguity, and overpromotion (i.e., being promoted to levels beyond their capabilities).

1-07. Dunnette, M. D. Predictors of executive success. In F. R. Wickert &

D. E. McFarland (eds.), Measuring Executive Effectiveness. New

York: Appleton-Century-Crofts, 1967, pp. 7-48.

A review of 40 studies done between 1950 and 1965 on traits,

interests, biographical, and demographic data associated with

executive success. Among the personality factors normally found

were: dominance, self-confidence, conscientiousness, manipulative

sociability (i.e., a desire to make business contacts as opposed

to forming close personal ties), and high needs for independence,

power, autonomy, achievement, and money. Biographic characteristics incluced an open, nnnrestrictive upbringing, a background of

10
success, and college participation in extracurricular activities.

In addition, some studies report executives scored high on "management" and low on "agriculture" and "medical professions" on

vocational inventory batteries. The reviewer concludes from

these studies that the executive's job is more task- than peopleoriented and personal characteristics as well as training and

experience are important for success.

1-08. Foote, E. P., COL. Drucker, Clausewitz and Us. Military Review,

1980, 60(7), 51-54.

Essay by a senior Army officer on the relative importance of

leadership and management skills for commanding officers. The

term "manager" has taken on a derogatory connotation, she notes,

as the Army has begun to emphasize leadership training. The author argues against taking sides on the question of which is more

important. Both roles are required of a commander, for he/she

must influence, motivate, and direct people ("leadership") as well

as organize nonhuman resources ("management"), and the commander

should receive training in both.

1-09. Fottler, M. D. Is management generic? Academy of Management Journal,

1981, 6(1), 1-12.

The author argues that managerial functions are different for

the four basic types of organizations (private for-profit, private

nonprofit, private quasi-public, and public) in that each organization type is supported by different subsectors of society and has

different demands placed on it. This, in turn, creates different

values, incentives, and constraints for management and, hence,

differences in how the basic managerial processes are implemented.

The author concludes one should not generalize from one organization

type to another.

1-10. Grub, P. D. & Loeser, N. M. (Eds.). Executive Leadership: The Art of

Successfully Managing Resources. Wayne, PA: MDI Publications,

1969.

This book of readings is a compilation of 110 journal articles

organized into 15 chapters covering a broad range of executiverelated issues. Most articles can be classified as "think-pieces,"

based largely on the personal experiences of its authors with no

original data presented and relatively few empirical studies cited.

The major criteria for including an article in this volume, according to the editors, were recency of publication and relevancy to

the modern executive rather than recognized quality. Articles most

relevant to the topic of executive skills and functions are found

in Chapter 2 ("The Role of the Executive"), Chapter 3 ("Criteria

for Executive Success"), Chapter 4 ("Planning and Controlling:

The Key to Dynamic Growth"), Chapter 6 ("Top-Level Decision and

Communication"), Chapter 7 ("Identifying and Selecting Executives"),

and Chapter 8 ("Motivation, Performance, and Appraisal"). (Some

items from this book are annotated separately. See 1-01, 2-27,

3-15, 3-16, 3-29.)

11
1-11. Janowitz, M. Sociology and the Military Establishment. New York:

Russell Sage Foundation, 1959.

In the first chapter of this old but not outdated book, Janowitz presents a case for the similarities between the military and

industrial sectors. He acknowledges the obvious differences in

goals (combat readiness vs. profit), motivational basis (duty and

honor vs. free enterprise and profit-motive), ideal managerial

characteristics (leader vs. manager), and the emphasis placed on

authority and rank structure. However, he contends that these

differences will lessen as the military becomes more "civilianized," by (1) working more closely with industry on technology,

(2) shifting from a "hostility" to a "deterrence" philosophy,

(3) becoming more concerned with a broad-range political social

and economic issues, and (4) developing a less fluctuating and

more stable peacetime force.

1-12. Kerr, S., Schriesheim, C. A., Murphy, C. J., & Stogdill, R. H. Toward

a contingency theory of leadership based upon the consideration and

initiating structure literature. Organizational Behavior and Human

Performance, 1974, 12, 62-82.

The authors discuss job level as a possible moderator variable

in their literature review of factors affecting the leader behavior

dimensions of "Consideration" and "Initiating Structure." After

considering the contradictory findings of 15 studies, they conclude

there is no clear consensus concerning the nature of its moderating

effect. They suggest that future research should control for other

organizational variables which may be related to job level.

1-13. Korman, A. K. The prediction of managerial performance: A review.

Personnel Psychology, 1968, 21, 295-322.

After reviewing the relevant literature prior to 1968, Korman

evaluates the predictive validity of various assessment techniques.

He concludes there are few valid performance predictors, especially

for top level positions. Rating techniques, especially peer ratings, were found to be most predictive, and personality inventories

and leadership ability tests were least predictive at all levels.

Personal history forms and ability tests did not predict performance

above the first-line supervisor level. Korman suggests that assessment techniques should be conceptually related to functions and

skills of a particular position. One should first discover what

the job entails, then develop predictors to assess the necessary

functions and skills, rather than using the traditional "shotgun"

empirical approach.

1-14. Malone, D. M., COL. Leadership at General Officer Level. Unpublished

manuscript. U.S. Army War College, Carlisle Barracks, PA, 1976.

This document was prepared for student use at the U.S. Army

War College. It presents a summary and critique of existing literature on general officer job requirements. According to the author, there has been very little systematic research done on the

skills necessary at the general officer level. Much of the work

is anecdotal, pieced together from autobiographies or self-report

12
data and hinges on an outmoded trait theory philosophy. As with

most unresearched areas, the claim is that there are few commonalities among general officer positions and skills. The author

stresses the need for research in this area which takes the situation as well as the individual into account.

1-15. Malone, D. M., COL & Penner, D. D. You can't run an army like a

corporation. Army, 1980, 30(2), 39-47.

An essay by instructors at the U.S. Army War College delineating the differences existing between military and industrial organizations in objectives, organizational structure, and managerial

roles. Because of these differences the authors caution against

blindly following the dictates of industry and argue that the

military should develop its own doctrinal literature.

1-16. Marples, D. L. Studies on managers: A fresh start. Journal of Management Studies, 1967, 4, 282-299.

The author reviews and evaluates the studies on managerial

activities (e.g., how executives spend their time) and suggests a

new methodological paradigm. He criticizes past research for their

atheoretical approach, for using vaguely defined categories and

an unreliable unit of analysis (the "episode") and for basing conclusions on self-reports that do not correspond to actual behavior.

He suggests a model using effective problem solving (the principal

executive goal) as a basis for categorizing and recording behavior.

1-17. Meyer, E. C., GEN. Leadership: A return to basics. Military Review,

1980, 60(7), 4-9.

The Chief of Staff of the Army presents a policy statement on

the requirements for successful leadership and the relative importance of leadership and management in today's Army. While acknowledging that both are necessary, he notes that the two are neither

synonymous nor interchangeable, and success in one does not necessarily guarantee success in the other. The Army has been concentrating on training managers to the exclusion of leadership, he

argues, and it is time to reverse the emphasis. According to General Meyer, training should be aimed at developing the three basic

requirements of a successful leader: character, knowledge (technical and human relations skills), and the ability to apply what is

learned to actual situations. Armed with these skills, the leader

will be able to motivate subordinates and instill a willingness to

sacrifice (the primary leadership objectives) by developing in

them a sense of loyalty, team spirit, trust, and confidence.

1-18. Mintzberg, H. The Nature of Managerial Work. New York: Harper &

Row, 1973.

In this often-cited book Mintzberg argues that the traditional

common-sense, nonempirical approach to describing managerial functioning is too general and not characteristic of actual managerial

work. He highlights 10 necessary managerial functions/roles and

13
eiqht sets of skills based on a review of the managerial job research and his own study with five chief executive officers. The

10 roles are grouped into three broad categories: Interpersonal

roles (figureheads, liaison, and leader), Information roles (monitor, disseminator, and spokesman), and Decision roles (entrepreneur,

disturbance handler, resource allocator, and negotiator). The

eight sets of skills seen as necessary to effectively accomplish

these functions are: peer skills, leadership skills, conflict

resolution skills, information processing skills, skills in

decisionmaking under ambiguity, resource allocator skills, entrepreneurial skills, and skills of introspection. He points out that

too much time has been spent discussing the necessary functions and

too little time teaching the necessary skills. He also argues that

these functions and skills are characteristic of all managers, regardless of level.

1-19. Murray, M. A. Comparing public and private management: An exploratory essay. Public Administration Review, 1975, 35, 364-379.

The author argues for a "generic" view of management: While

the public and private sectors may differ in content area, specific

goals and techniques, the management process is universal, and both

engage in planning, coordinating, directing/motivating, and decisionmaking. There may be differences, says the author, but one must

ask whether these differences actually affect the management process. The author's answer is a "cautious no," and predicts increasing similarity as the public and private sectors become more

interdependent.

1-20. Nash, A. N. Vocational interests of effective managers: A review of

the literature. Personnel Psychology, 1955, 18, 21-23.

This article reviews some 60 studies on managerial vocational

interests. The general consensus, according to Nash, is that effective (as compared to ineffective) managers have stronger persuasive, verbal, and literary interests, a more positive interest

in business-related occupations, and less of an interest in scientific and technical fields. Social service, humanitarian, and

people-oriented interests were usually found to be positively correlated with effectiveness at lower managerial levels, but negatively related at the executive level. The reviewer suggests that

executives understand the needs of others, but are not concerned

with satisfying them unless they benefit the organization. Nash

concludes that although effective managers were found to have an

identifiable set of interests, the correlations were not high

enough to warrant definitive statements.

1-21. O'Connor, M. G., RADM & Brown, D. S. Military contributions to management. Defense Management Journal, 1980, 16(2), 50-57.

This article argues for the similarity between managerial positions in industry and the military. It points out that the two

sectors are constantly exchanging managerial theories and techniques,

and describes 19 different managerial techniques that have been developed in the military and adopted by industry.

14
1-22. Porter, L. W. & Lawler, E. E., Ill. Properties of organization

structure in relation to job attitudes and job behaviors. Psvcholoqical Bulletin, 1965, 64, 23-51.

This literature review includes a summary of the re-1-i',%

studies relating job attitudes and behaviors to different ]evels

within industrial organizations. The studies summarized indicatthat such factors as job and need satisfaction, amount of information received and processed, type of interpersonal relations,

and type and nature of decisions all vary according to organizational level. The reviewers emphasize the importance of using

level as a moderator variable in studies on organization structure

and suggest that future research concentrate on the question ot

what it is about different levels that creates different job attitudes and behaviors.

1-23. Segal, D. R. Leadership and Management: Organizational Theory.

Unpublished manuscript, University of Maryland, 1980.

The essay's theme is that both leadership and management

functions are essential in military organizations, but they are

not synonomous and should be distinguished. According to the author, they stem from different and conflicting philosophical traditions (leadership being linked to social philosophy and management to rational, individualistic cost/benefit models), require

different sets of skills (interpersonal vs. technical and conceptual), are associated with different problem areas within an organization (e.g., morale and cohesiveness vs. logistics and systems

analysis), and differ in relative importance according to rank and

position (leadership being more essential at lower and management

at higher command levels). The fact that they are distinct implies

that individuals do not necessarily have the innate potential to

develop both sets of skill3. The author suggests the Army should

take these differences into account when considering training, promotion, and duty assignments. (The manuscript makes a number of

interesting suggestions that should be researched. However, it

presents somewhat of a "straw man" argument, implying that most

organizational psychologists and practitioners use the terms

leadership and management synonomously, but citing no references

to substantiate this claim. Also, the author's assertion that

leaders are born, not made, has not received much empirical

support.)

1-24. U.S. Department of the Army. Leadership at Senior Levels of Command.

Department of the Army Pamphlet 600-15. Washington, October

1968.

This 1968 Department of the Army pamphlet recognizes three

interrelated roles of senior officers, decisionmaking, management,

and leadership, but focuses only on the latter. The major leadership function, according tu Lhe pamphlet, is human resource coordination, which involves policy formulation, monitoring goal accomplishment, and the development of a cohesive personnel system. The

pamphlet emphasizes the last of these coordinating functions and the

two sets of skills necessary to accomplish it: Diagnostic skills

15
(the ability to analyze a situation, note the critical elements, and

formulate plans) and Action skills (plan-implementation through

social influence). (Although 13 years old, this pamphlet remains

the major U.S. Army statement on senior leadership doctrine. It

may well be outdated since it is based largely on literature prior

to 1965 that did not distinguish between senior and lower level

leaders.)

1-25. Vroom, V. H. Motivation in Management. New York: American Foundation for Management Research, 1965.

This pamphlet reviews the managerial motivation literature

prior to 1965. The review indicates that only a small number of

the studies concentrated on the higher levels of management. Those

few studies that did compare managerial motivation according to

organizational level found higher level managers expressed a greater

job satisfaction and a stronger desire for power, authority, and

personal growth and development.

1-26. Welte, C. E. Management and leadership: Concepts with an important

difference. Personnel Journal, 1978, 47, 630-633, 642.

This personal opinion essay by a management consultant/trainer

argues for a distinction between leadership (ability to conduct

interpersonal relations and influence people to take desired actions) and management (ability to coordinate diverse activities)

because the fuictions and skills required of each are different

and not necessarily correlated. He also argues for a distinction

between "styles of leadership" and "leadership behavior" for the

same reasons.

1-27. Wickert, F. R. & McFarland, D. A. (Eds.). Measuring Executive Effectiveness. New York: Appleton-Century-Crofts, 1967.

This volume contains eight papers on executive effectiveness

by leading industrial psychologists from universities and businesses. (Since the contributions were originally prepared for a

1964 personnel research conference, the results reported may be

outdated. However, the papers are well worth reading for examples

of methodologically sound research and discussions of issues to

be concerned with in assessing executive effectiveness. Two chapters from this volume are annotated separately (see 1-07, 2-01).)

1-28. Zaleznik, A. Managers and leaders: Are they different? Harvard

Business Review, 1977, 55(3), 67-78.

The author suggests that managers and leaders differ in their

roles, motivation, personal history, and how they think and act.

Leaders are described as active change agents who use power to influence and require risk-taking ability, persuasive communication

skills, and an ability to become emotionally involved with people

and with goals. Managers, on the other hand, are seen as problemsolvers who ar- rational thinkers rather than doers. They are conservative compromisers who maintain an emotional detachment from

16
i ] t, iiv imp, snlnA passive attitude toward oals (iven

thestA b.si : :fftuti: " s, the author sugqests that it may not be

1 ossiblv f(,r 010! person to have the characteristics of both.

17
SECTION 2: EMPIRICAL LITERATURE

18
Table 2 provides a content summary of the empirical works listed in this

section. Of the 64 items, 11 describe studies with military samples only, 48

involve nonmilitary personnel, and 5 compare senior leaders from the military

and nonmilitary sectors. Thirty of the listings deal only with the senior

leader, and the remaining 34 are level-comparison studies. In the latter

group are 31 studies that compared upper and lower management and three

studies (01, 11, 58) which compared different levels of senior leadership.

With respect to the subject matter, 28 listings concentrate on senior leader

competencies, 24 emphasize job-related variabies, and 12 are classified under

both categories.

Most of the listings used interviews and/or questionnaire surveys of

senior leaders, their superiors, or subordinates. However, other techniques

were used as well. Some can be described as "managerial activity" studies

(04, 06, 11, 30, 32, 34, 50, 60), involving studies on what managers actually

do, based on self-reports or direct observations. In general, studies in

this category employed very small sample sizes (usually fewer than 10) and

report data in terms of percentage of time spent on various activities.

Other listings (03, 13, 31, 61) discovered competencies by asking leaders to

describe "critical incidences" and factor analyzing the results.

The majority of items describing competencies did not distinguish effective from ineffective executives, but simply concerned themselves with the

characteristics of the "typical" executive. There were some exceptions, however (03, 05, 31, 36, 61, 62).

It is also difficult to evaluate the generalizability of much of the research reported, since most authors provide only qualitative interpretation

of the data or, at most, summarize the results in terms of means and percentages. Notable exceptions are four level-comparison studies (03, 05,

31, 62) and one study with senior civilian naval executives (32).

19
Ta)le 2

Descriptive Contents of Empirical Literature (Section 2)

Organization Type Target Group Subject Matter

Non- Mil-Nonmil Senior Level ob-Re I ated

Military military Comparison Leaders Compar isons Competencies Valiables

14 01 52 13 04 01 01 02

28 02 53 22 06 02 03 04

31 03 54 23 07 03 05

39 04 56 24 10 05 09 07

40 05 60 42 12 08 10 08

43 06 61 14 09 12 09

55 07 63 15 11 15 10

57 08 64 19 13 16 11

58 09 23 16 17 13

59 10 25 17 18 14

62 11 27 18 19 15

12 30 20 20 19

15 32 21 22 21

16 33 22 24 23

17 36 24 26 25

18 37 26 27 28

19 39 28 28 29

20 40 29 31 30

21 43 31 32 32

25 44 34 33 34

26 45 35 35 35

27 49 38 36 39

29 51 41 37 41

30 52 42 38 46

32 54 46 39 47

33 55 47 40 48

34 56 48 41 49

35 59 50 42 50

36 60 53 43 51

37 61 57 44 53

38 58 45 54

41 62 48 55

44 63 49 57

45 64 52 60

46 55 61

47 56 63

48 58

49 59

50 62

51 64

20
2-01. Bentz, V. J. The Sears experience in the investigation, description

and prediction of executive behavior. In F. R. Wickert & D. D.

McFarland (Eds.), Measuring Executive Effectiveness. New York:

Meredith Publishing Company, 1967, pp. 147-205.

The article describes the personal characteristics of effective Sears executives (store managers through corporate office

executives) based on 2,458 responses to a test battery measuring

interests, values, and personality traits. Among the characteristics associated with success were (1) a competitive drive for

eminence and authority; (2) high stress tolerance and stamina;

(3) intellectual skills (i.e., an ability to problem-solve, structural orderliness in thinking, and high verbal and quantitative

aptitude); (4) social leadership skills, involving an ability to

organize and motivate people toward goal accomplishment while maintaining detachment and objectivity; and (5) a lack of artistic interests. This description was generally true of executives regardless of geographic location and organizational level.

2-02. Blankenship, V. & Miles, R. E. Organizational structure and managerial decision-making. Administrative Science Quarterly, 1968,

13, 106-120.

This study was concerned with decision-making differences as

a function of hierarchical level using questionnaire responses of

190 managers from 8 companies. Among the findings were: (1) senior

leaders exerted a greater degree of autonomy at each successively

higher level of management; (2) top level managers were more likely

to make the final choice and to exert strong influence on decisions;

and (3) top level managers relied heavily on subordinates for information and recommendations.

2-03. Boyatzis, R. E. The Competent Manager. New York: Wiley, 1981 (in

press).

The study identified 19 job-related competencies of superior

managers using a modified critical incidents technique. It was

found that 16 of these competencies could be described by 5 competency clusters. The 5 clusters (and competencies within each)

that distinguished superior from average managers were: Goal and

Action Management (efficiency orientation, pro-activity, diagnostic

use of concepts, concern with impact); Leadership (self-confidence,

use of oral presentation, conceptualization); Human Resource Management (use of socialized power, group process management, accurate self-assessment, positive regard); Subordinate Direction (use

of unilateral power, developing others, spontaneity); and Focus on

Others (perceptual objectivity and self-control). "Stamina and

adaptability," "logical thought," and "specialized knowledge"

were identified competencies not associated with these clusters.

The relative importance of each cluster varied as a function of

level. The "Goal and Action Management" cluster was relevant to

performance at all managerial levels and the "Leadership" cluster

was relevant for middle and executive level managers. In addition,

three other competencies predicted effective performance at the

executive level: "perceptual objectivity," "managing group process,"

21
and "developing others." Differences were also found rin compar isons between successful managers in the private and public sector.

All competencies in the "Coal and Management" cluster, two o: tho

"Leadership" cluster competencies (conceptualization and use of

oral presentation) , and the "managing group process" competency

were demonstrated more often by managers in the private sector organizations than by managers in the public sector. An integrated

competency model was developed based on the results of this stud,.

(See 2-30 for a study using this technique with a military

sample.)

2-04. Burns, T. Directions of activity and communication in a departmental

executive group. Human Relations, 1954, 7, 73-97.

This study reports how and with whom four division managers

in one department of a British engineering firm spent their time

over a 5-week period. It was found that over three-fourths of

their time invclved face-to-face interaction, much of it among

themselves. Also discrepancies were found between the managers'

perceptions and actual behavior. The group underestimated the

time spent with personnel, overestimated time involved with production, and frequently misperceived the intent of communications

directed at them. The author suggests that the significance of

lateral communication has been underestimated.

2-05. Butterfield, D. A. Leadership and organizational effectiveness.

In P. E. Mott, Characteristics of effective organizations. New

York: Harper & Row, 1972. Pp. 117-149.

Using two levels of management, the study compared the predictive power of four leadership theories by correlating subordinate ratings of leadership variables described by these theories

with organizational effectiveness measures. None of the leadership variables were related to effectiveness at the lower organizational level. At the higher level, some (but not all) variables

for each theory were correlated with effectiveness. All predictors

belonged to "task orientation" and "group maintenance" leadership

characteristics. The author concludes that leadership has a siqnificant but limited relationship to effectiveness and suggests

that other organizational variables must be considered along with

leadership to understand effectiveness. The author also suggests

that the lack of relationships at the lower management level may

have been due to poorly constructed measurement instruments and

do not reflect problems with the predictive power of the theories.

2-06. Carlson, S. Executive Behaviour. Stockholm: Stromberg, 1951.

This book reports one of the first significant empirical

studies on how executives spend their workdays. It was based on

self-reports from presidents of nine Swedish industries of varying

sizes and functions over a 35-day period. Although there was a

great deal of variability among subjects, results were discussed

for the group as a whole in terms of the distribution of work time,

communication patterns with subordinates, and work content. Among

22
the general findings were: (i) Executives experienced a heavy

workload; (1) they had little control over the design of their

workday; (3) there was very little uninterrupted time alone to

think and plan; and (4) they spent a great deal of time interacting with subordinates and other visitors. The data on work

content were difficult to interpret, according to Carlson, largely

due to inadequacies in the methodology used. The author cautions

against generalizing these results to other industries and other

cultures because of the small sample size. He urges that more

studies of this kind be undertaken and suggests that future research concentrate on the impact of the organizational environment on executive behavior.

2-07. Carson, I. How top men make up their minds. International Management, 1971, 26(4), 20-24.

A small international group of executives were asked to describe their decision-making styles, and this article records

some of their responses. These executives pointed to the importance of subordinate influence, careful analysis, timing, aid

choosing an appropriate place to be alone to think.

2-08. Childs, J. E. & Ellis, T. Predictions of variation in managerial

roles. Human Relations, 1973, 26, 227-250.

This study found support for the proposition that role dimensions are contingent on situational characteristics. Managers'

perceptions of their jobs differed as a function of type of industry, degree of organizational structure, size, culture, job

type, and organizational level. With respect to organizational

level, senior leaders (as compared to middle managers) reported

their work was less routine, perceived themselves as having more

authority, and felt freer to initiate change. Unexpectedly, role

clarity did not differ for the two levels. The authors conclude

that "manager" is not a generic term and suggest that assessment

and training programs be concerned with environmental characteristics.

2-09. Coates, C. H. & Pellegrin, R. Executives and supervisors. American

Sociological Review, 1957, 22, 217-220.

Fifty executives and 50 first-line supervisors from 30 large

Southern bureaucracies were asked to describe and compare their

personal attributes through unstructured interviews. The articla

contains a qualitative summary of their responses focusing on perceptions of the executive and his role. Both groups described

the executive as more personally competent (higher in intelligence

and motivation, more self-confident and self-directed, etc.) and

much better at carrying out the traditional executive role (planning, coordinating, motivating, understanding human behavior, etc.).

Also, both groups were aware of the disadvantages of the executive's

role (much stress and responsibility, little leisure time, etc.),

and the supervisors cited these as reasons for why they would not

want to be executives. The authors conclude that the groups see

their roles as distinct, and are differentially motivated because

their role requirements differ.

23
2-10. Day, C. R., Jr. How executives rate themselves. Industry Week,

1979, 202 (6) , 78-83.

Industry Week asked a select number of executives to rate

themselves on manaqement of time, delegation of work, working

with the opposite sex, ability to organize work, coping with pressure, overall performance, and other items. Executives responding

ranked themselves highest at meeting deadlines. Other high marks

included abilities to self-start, run productive meetings, and

analyze dilemmas. The number one nemesis of the executive was

time management. The reasons for this weakness included: (1) complexity of management; (2) external influences; (3) delegation of

problems; and (4) decisionmaking which results from committees or

groups.

2-L1. Dubin, R. & Spray, S. L. Executive behavior and interaction. Industrial Relations, 1964, 3, 99-108.

This study described the activities of eight junior and senior

business executives from various departments of a large industry

using a self-report technique. Results (reported in terms of percentage of time) indicated that executives spent the greatest proportion of time in verbal, face-to-face communication with associates outside their own departments and initiated rather than

received the majority of communication. Within their own departments, the largest percentage of contacts were with "peers" (individuals of equivalent status and authority) as opposed to superiors

or subordinates. Also, senior executives reported engaging in a

number of activities simultaneously. This was not as characteristic of the junior executives. No general pattern was found regarding activity content (e.g., time spent planning, coordinating,

etc.). (The authors suggest that this latter finding indicates

functions differ according to specialty and level. However, the

individual differences may also be attributable to such artifacts

as the small sample size or lack of agreement on definitions as to

what constitutes a particular activity.)

2-12. England, G. W. & Weber, M. L. Managerial Success: A Study of Value

and Demographic Correlates. Minneapolis: Center for the Study of

Organizational Performance and Human Effectiveness, University of

Minnesota, 1972.

Using a salary/age ratio to define "success," this study compared the values and demographic characteristics of successful and

unsuccessful managers. Results indicated that successful managers

favored pragmatic, dynamic, achievement-oriented values, preferred

to take an active role in interactions, and were willing to take

risks to achieve organizationally valued goals. Unsuccessful managers preferred more static and passive values. (Although more

successful managers were generally at the higher organizational

levels, top managers could be found in both success groups. Hence,

the results are only suggestive of executive personal qualities.)

24
2-I . }'lanaj an, T. ". Defining the requirements of the executive's job.

Personnel, 1951, 29, 28-35.

The article introduces the "Critical Incidents Technique,"

a technique for defining job requirements by asking position

holders to describe personal examples of oustanding and unsatisfactory performance. To illustrate this technique, it briefly

summarizes results from two earlier studies carried out in the

1940s, one with Air Force officers and the other with research

executives. In the Air Force officer study, 54 critical behaviors

were identified and divided into six proficiency areas: handling

administration details, supervising personnel, planning and directing action, organizational responsibility, personal responsibility, and military occupational specialty. Colonels ano generals

(as compared to other officers) reported a greater percentage of

incidences involving personnel supervision and the planning, initiation, and direction of actions. The percentage of incidents

reported in the other categories by these senior officers were

relatively small. A comparison of senior military and research

executives indicated that general officers and colonels reported

more incidences involving fairness and ethics and fewer incidences

dealing with idea-generation and the use of imagination in formutating plans. However, the author notes that comparison between

these groups is difficult, given their very different objectives.

2-14. Franklin Institute, Art and Requirements of Command, Vol. 1, Summary

Report. Vol. 2, Generalship Study. Vol. 3, Historical Studies.

Vol. 4, Seventh Army Command Process Study. Philadelphia: Systems

Science Department of the Franklin Institute, 1967.

This four-volume series, published during the Vietnam conflict,

develops a detailed model of the necessary combat command functions

at division level and above, based on three lines of inquiry:

questionnaire responses from a cross-section of senior officers; a

historical analysis of the methods, techniques, and procedures used

by superior p~st commanders; and a questionnaire/interview program

with active general officers of the Seventh Army, Europe. Volume I

presents the model, and Volumes II-IV describe the studies upon

which the model is based. The four-stage model depicts the effective senior combat commander as the center of an information transfer system (1) receiving relevant combat information; (2) organizing

it into a directive; (3) monitoring the implementation of the directive; and (4) evaluating the implementation's effectiveness.

The model emphasizes the importance of face-to-face communication,

a free-flowing, two-way communication system, and flexibility in

adapting to a changing environment.

2-15. Glickman, A. S., Hahn, C. P., Fleishmann, E. A., & Baxter, B. Top

Management Development and Succession: An Exploratory Study.

Supplementary Paper No. 27, American Institute for Research.

New York: Committee for Economic Development, 1968.

Newly selected executives and those who chose them were asked

for the criteria used in selection in order to discover how top

management development decisions are made. It was found that

25
potential executives were identified early in their careers and

moved up quickly. These "crown princes" were people who stood

out by performing above expectations in lower managerial positions

and by associating themselves with top level men. The only competencies identified were decisiveness and a willingness to take

risks. The authors conclude that the specific requirements of an

executive's position are not considered in selecting individuals.

2-16. Graen, G., Dansereau, F., Jr., & Minami, T. An empirical test of the

man in the middle hypothesis among executives in a hierarchical

organizational employing a unit set analysis. Organizational Behavior and Human Performance, 1972, 8, 262-285.

The "man-in-the-middle" hypothesis, which has been supported

at lower management levels, states that superiors and subordinates

use different criteria to evaluate their managers. The present

study did not find much support for this hypothesis at the executive level. Superiors of successful steel industry executives saw

them as structuring, domineering, and promoting both their own and

their members' influence over the unit. In slight contrast, subordinates saw them in much the same way, but with "consideration"

substituted for "domineering."

2-17. Gugliemino, P. J. Developing the top-level executive for the 1980's

and beyond. Training and Development Journal, 1979, 34, 12-14.

This paper reports on the necessary managerial skills at different organizational levels as perceived by management professors,

training directors, and mid-level managers. Conceptual, human,

and technical skills were seen as important for all levels, but

the "skill mix" differed in line with Katz' theory (see 3-24).

The subjects perceived that the need for conceptual skills increases, technical skills needs decrease, and human skills needs

remain about the same as one ascends the organizational hierarchy.

The most critical conceptual skills at the executive level were

perceived to be: (1) decisionmaking, (2) identifying opportunities and innovating for the good of the whole organization,

(3) understanding and monitoring the business environment,

(4) structuring the organization, (5) planning the multi-national

corporations, and (6) thinking as one entrepreneur. All were

thought to be somewhat difficult to teach.

2-18. Haire, M., Ghiselli, E. E., & Porter, L. W. Managerial Thinking: An

International Study. New York: Wiley, 1966.

This cross-cultural study compared the perceptions and attitudes of managers at all levels from 14 countries. Although some

differences were found, the authors report a great deal of similarity among managers from the different countries, with the U.S.

managers most closely resembling those in England. This pattern

of similarities overshadowing differences also held true in comparison between upper and lower management. Some differences were

found, however, in the United States sample, as higher level managers reported being less democratic, more satisfied with their

26
jobs, and having more of their social autonomy and self-actualization

needs fulfilled.

2-19. Heller, F. A. Managerial decision-making: A Study of Leadeisnip

Styles and Power Sharing among Senior Managers. London: Tavistock, 1971.

Two hundred and sixty British industrial executives (viz'-

presidents and division heads) responded to a questionnaire on

the extent to which they involved subordinates in the decisionmaking process. The degree of power sharing depended upon perceived and actual personal characteristics of both the executives

and their subordinates as well as a number of situational factors

(task clarity, time constraints, span of control, job type, efficiency of the communication structure, and target of the dccisinn).

The author concludes that it is inappropriate to talk about the

one "best" leadership style and stresses the need for a contingency

approach to leadership.

2-20. Heller, F. A. & Yukl, G. Participation, managerial decision-makinq

and situational variables. Organizational Behavior and Human Performance, 1969, 4, 227-241.

Organizational level was one of several situational factors

in this study of decision-making styles at a large British industrial organization. Among the findings was that senior managers

used a participation-style of decisionmaking more often that frontline supervisors. Also, the more experienced the senior manager,

the more likely he was to share the decision-making function with

subordinates.

2-21. Hemphill, J. K. Dimensions of Executive Positions: A Study of the

Basic Characteristics of the Positions of Ninety-Three Business

Executives. Columbus, Ohio: Bureau of Business Research, Monograph No. 98, 1960.

This study reports the results of a factor analysis on a 575-

item position description questionnaire that was administered to

93 "executives" ranging from second-line supervisors (beginning

managers) to those within three echelons of the president (upper

management). Of the 10 factors identified, none were uniquely

characteristic of upper management. In general, the factors were

distinguished more by functional areas than by managerial level.

2-22. Holmes, D. S. A Report on an Evaluation of Twelve Brigadier General

Designees. Unpublished manuscript. Center for Creative Leadership, Greensboro, N.C., 1978.

Using observations, interviews, and a psychological test battery, the study assessed and compared the personal characteristics

of 12 newly selected brigadier generals with industrial executives

and battalion commanders. An analysis of the test battery revealed

more similarities than differences between the three groups, and

that the brigadier generals were more similar to the industrial

27
executives than to the battalion commanders in many areIs. II

contrast to the battalion commanders, the brigadiei generaI5 w.

executives were found to function better in less structured sjtations and were more creative, outgoing, and flexible ic theii

thinking. The author categorizes the 12 brigadier gereral1 into

three managerial types: "Dependable-cautious," "Outgoinl," an,!

"Potentially creative." He concludes that individual differences exist among officers and suggests that they should b, -ricouraged to develop their unique strengths.

2-23. Hong, D. S. Retired military elite: Post-military employment anol

its socio-political implications. Armed Forces and ociety, l97'9,

5, 450-466.

The author reports that one-third of the retired senior military officers listed in such publications as "Who's Who in America"

were employed by industrial firms in top level positions (division

head or above), and concludes that skills developed in the military are transferrable. (This study lends some support to those

who feel it is possible to generalize industrial findings to a

military setting. However, it should be noted that the sample

consisted of only the "military elite" and was riot representative

of top-level officers in general.)

2-24. Hunsinger, F. R. What successful managers say about their skills.

Personnel Journal, 1978, 57(11), 618-621.

Using an open-ended questicnnaire format, Air Force NCOs

through colonels were asked to describe the major skills contributing to success. The researchers then grouped the responses into

six categories: (1) Communication (read, write, speak, and listen);

(2) Human Relations (empathize, understand people, consider subordinates); (3) Management (analyze problems, decisionmaking, and

application of management principles); (4) Competence (technical

skills and knowledge of unit requirements); (5) Leadership (how to

motivate or direct people); and (6) Intangible Traits (intuition,

judgment, personality, etc.). Their relative weightings differed

according to level. For officers below the LTC rank, Communication, Human Relations, and Management were rated most important.

The three most important skills of the LTC/COL group were Competence, Human Relations, and the Intangible Traits. Unfortunately,

the data for LTCs and COLs were not analyzed separately. (It is

also unfortunate that the author did not factor analyze the responses, for the components of some of his categories may not be

highly correlated. For example, are both "technical skills" and

"knowledge of unit requirements" necessary senior level competence

skills, or is only the latter important?)

2-25. Hurtson, C. J., Jr. How often do executives delegate correspondence?

Management World, 1978, 7(2), 12-14.

The author discusses the role of written communication in an

executive's job based on results of a survey of top commercial

28
bank executives. He reports that most executives spent a good

deal of time writing their own letters, but delegated some to

subordinates. The percentage of letters delegated depended upon

a variety of personal and situational factors. The author sujgests that since the executive's writing responsibilities have

greatly increased in recent years, he/she should learn to doleqate more in order to ease the workload and develop subordinate

writing skills.

2-26. Jago, A. G. & Vroom, V. H. Hierarchical level and leadership style.

Organizational Behavior and Human Performance, 1977, 18, 131-145.

The study used self-report data to investigate the relationship between organizational level (supervisors vs. section heads

vs. division heads) and leadership style (autocratic vs. participative). The tendency for managers to prefer participative over

autocratic methods increased from lower to higher levels. The

authors suggest that roles and situations differ between levels

and are more conducive to participatory methods at the higher

levels.

2-27. Jennings, E. E. You can't succeed in business by merely trying.

Nation's Business, 1966, 54(5), 110-116. (Also in P. D. Grub &

N. M. Loeser (Eds.), Executive Leadership: The Art of Successfully Managing Resources. Wayne, PA: MDI Publications, 1969.

Pp. 99-104.)

The author employs the results of a survey of industrial

chief executives to describe the pattern necessary to progress

to the top of the organizational hierarchy. According to the

author, the necessary skills and characteristics are developed

through education and past organizational experiences. The author

suggests that the following characteristics and skills should be

developed: An ability to manage people regardless of their functional orientation or technical skills, a strong motivation for

advancement, an awareness of the need for corporate visibility,

and a thorough understanding of organizational principles.

2-28. Just, W. Military Men. New York: Alfred A. Knopf, 1970.

A journalist's impressionistic account of the characteristics

and motivations of Army personnel during the Vietnam era, based

on personal observations and interviews. In Chapter 4 ("The Generals"), the author depicts general officers as "managers" who

are isolated from their men, strictly adhere to Army policy, and

lack initiative, imagination, and innovation. They rose to the

general officer level, according to the author, because they associated with the "right" people, performed well in combat assignments, and graduated from the "right" military schools. He

does not discuss the colonel positions in much detail, but it is

implied that they are very similar to general officers. In Chapter 8 ("The Colonel"), the author presents a case study of one

colonel, who is described as a true combat warrior, with a decided

dislike for managerial positions.

29
2- 9. Kaiter, R. M. How the top is different. In R. M. Kanter and B. A.

Stein (Eds.), Life in Organizations: Workplaces as People Exjtjrierce Them. New York: Basic Books, Inc., 1979. Pp. 20-3S.

The author lescribes differences between executives and lower

level managerial positions based on personal observations and interviews. The executive position is seen as involving much more

uncertainty as jobs are relatively unstructured, tasks are nonroutine, and decisions must be made about a variety of unknown

elements. She also indicates that executives are more open to

public scrutiny, there is greater pressure toward conformity and

less of a distinction exists between work and leisure.

2-10. Kelley, 3. The study of executive behavior by activity sampling.

Hur.,i Relations, 1964, 17, 277-288.

The article reports the results of an observational study in

which the behaviors of four section managers in a British manufacturing firm were randomly sampled over a 3-week period. Results showed that all four managers spent approximately two-thirds

of their time interacting with other company employees. Subordinates took up the greatest proportion of this contact time, followed by peers and superiors. With respect to the content of the

activities, Kelley reported that the majority of the managers'

time (three-fourths) was spent supervising and performing technical functions. While these patterns held for all four section

managers, the actual proportions of work actively differed according to the nature of the individual manager's job. Kelley notes

that those managers most similar in function had the most similar

behavior patterns and concludes that the nature of the job rather

than personal qualities determine what managers do. (While Kelley

describes it as a study of executive behavior, it is not clear

that section managers are, in fact, senior leaders. Kelley categorizes a section manager as one who " . . is responsible for

maintaining a high le'rel of technical efficiency on his lines .

must meet standards of efficiency operations set by the unit manager . . . [who reports directly to the president] . . . (and]

is responsible for establishing and maintaining on his section

safe standards of work and a high standard of cleanliness and tidiness" (p. 281). Unfortunately, there are no agreed-upon auidelines

for distinguishing among levels. However, this description, with

its concern for the day-to-day functioning of the company, would

appear to be more characteristic of junior rather than senior

leaders.)

2-31. Klemp, G. 0., Jr., Murger, M. T., & Spencer, L. M., Jr. Analysis of

Leadership and Management Competencies of Commissioned and Noncommissioned Naval Officers in the Pacific and Atlantic Fleets.

Boston, MA: McBer and Company, 1977.

This study attempted to identify skills/competencies of naval

officers in the Pacific and Atlantic fleets, using a modified

critical incidents technique. Twenty-seven competencies were

identified and factor analyzed into five basic clusters: "Task

30
Achievement," "Skillful Use of Influence," "Advising," and "Counselling," "Management Control," and "Coercion." Components of

the first three were found to be especially effective in differentiating superior from average senior officers. The "Task

Achievement" components which differentiated superior from average senior officers were concern for achievement, taking initiative, setting goals, and coaching. With respect to the "Skillful

Use of Influence" category, superior leaders expressed more concern with influence, were more skilled in conceptual analysis, and

were more likely to use persuasion and explanation to motivate

subordinates. These senior officers also reported significantly

more actions to foster teamwork and showed controlled emotions.

With respect to "Advising and Counselling," superior officers

showed a greater ability to listen, understand, and help subordinates. They also expressed more statements of belief in subordinates' basic worth and ability to perform.

2-32. Lau, A. W., Broedling, L. A., Walters, S. K., Newman, A. N., & Harvey,

P. M. The Nature of the Navy Civilian Executive Job: Behavior

and Development. San Diego: Navy Personnel Research and Development Center, 1979.

The study analyzed the activities, function, and skills of

Navy civilian executives using a multimethod approach. Executive

job characteristics included long working hours, job variety,

fragmental work patterns, a great majority of time spent with

other individuals, shared responsibilities, and a great deal of

felt pressure to produce. A factor analysis of work activities

identified four major executive functions: (1) leadership,

(2) decisionmaking, (3) technical problem solving, and (4) the

seeking and dissemination of information between the organizational unit and the outside world. Five sets of skills were perceived as necessary for effectively accomplishing the above activities and functions: (1) interpersonal/leadership skills

(ability to communicate, listen, persuade, use employee incentives, and effectively interact with other people); (2) administrative/managerial skills (capability to view the organization

systemically, allocate resources, manage crises, and plan, direct,

and evaluate the unit's work); (3) technical skills; (4) environmental/informational skills (ability to interface with the external environment); and (5) personal skills (achievement and risktaking orientation, conceptual ability for differentiation and

integration). The leadership and managerial skills were rated as

contributing most to effective performance. The authors conclude

that one must be aware of the systemic characteristics impinging

on executives to describe and understand their behavior and suggest that training programs should be based on empirically identified functions and skills.

2-33. Maccoby, M. The Gamesman: The New Corporate Leaders. New York:

Simon & Schuster, 1976.

The author, a psychoanalytically trained clinical psychologist, develops a psychological portrait of the "typical" executive

31
of 1970, based on interviews with 250 business managers. He describes four ideal types: the Craftsman, Jungle Fighter, Company

Man, and Gamesman, the latter being the most typical of today's

effective executive. The Gamesman is described as an individual

who loves change and wants to influence its course. He values

flexibility, individuality, and risk-taking; fears being controlled;

and looks at work as competitive contests that must be won.

-4. Martin, N. H. The level of management and their mental demands. In

W. L. Warner & N. H. Martin (Eds.) , Industrial Man: Businessmen

and Business Organizations. New York: Harper & Brothers, 1959,

pp. 274-294.

Using observations, interviews, and examination of written

correspondence, this study compared decision-making situations at

four managerial levels of a large industry (works manager, division

superintendent, department foreman, and shift foreman). Results

indicated that the type of social relationship and decisions encountered varied in both degree and kind by level. In comparison

to the communication pattern of lower level managers, the top managers spent more time with others outside their own work group,

had fewer face-to-face contacts, and communicated less with people

at their own level. Decisionmaking at the higher managerial level

was characterized by more distant time frames, a greater degree of

abstractness, and less structure. The author suggests that different forms of intellectual functioning and personality are required

at each of the levels of management.

2-35. Maude, B. Leadership in Management. London: Business Books, 1978.

The author's purpose is to develop a practical guide on how

to become an effective businessman/executive. The information

presented is largely based on personal interviews, biographies,

and other literature on what managers (mostly executives) actually

do, and what t ,ey themselves have to say about leadership and management. "Academic" leadership theories are purposefully ignored

as being irrelevant. After reviewing the "evidence," Maude concludes that (1) managers are hard-working, competitive, and

pro-active rather than reactive; (2) the effective leadership

style is situation-dependent; and (3) similar skills are necessary

at all levels, but executives must be especially adept at planning,

decisionmaking, applying firm controls to cash flow and budgeting,

developing cohesive teams, and face-to-face communication.

2-36. McClelland, D. C. & Burnham, D. H. Power is the great motivator.

Harvard Business Review, 1976, 54, 100-110.

The authors discuss the results of a study comparing the

motive patterns, leadership styles, attitudes and interests of

(subordinate-defined) effective and ineffective executives. The

effective executive (i.e., one who enhances employee morale) is

characterized as an "institutional" manager who displays a democratic leadership style, is more concerned with organizational

goals than with personal achievement, has a high inhibition need

32
(which describes a controlled, disciplined individual), and a

greater need for social power than for affiliation. Other distinguishinq characteristics include a keen sense of social justice or equity, a willingness to seek expert advice, low eqocentrism and defensiveness, a positive attitude toward work, a

long-range perspective, and active membership in a number of

outside organizations. (It should be noted that the effectiveness

criterion was morale rather than performance. A much different

profile may have emerged if the latter criterion were used.)

2-37. McLennon, K. The manager and his job skills. Academy of Management

Journal, 1967, 3, 235-245.

A survey of 520 sales, finance, and personnel managers (department managers to presidents) found moderately high agreement

in the rankings of 65 job skills. Oral communication, writing

skills, basic academic skills (e.g., economic principles, statistics, etc.), and a thorough knowledge of the organization and its

employees were among the skills perceived as most important.

Specific technical area knowledge (e.g., principles of insurance,

corporate finance, etc.) was not seen as very important. There

were differences in rankings according to functional area and organization size, however, leading the author to conclude that

skills are not totally transferrable from department to department

or from one organization to another.

2-38. Miner, J. B. & Miner, M. G. Managerial characteristics of personnel

managers. Industrial Relations, 1976, 5, 225-234.

This study compared the personal characteristics of middle

and upper personnel managers. The results indicated that top

managers expressed higher needs for achievement and selfactualization and lower needs for financial reward and security.

Top maxagers were also found to be more motivated to perform their

roles and scored higher on supervisory ability, intelligence, decisiveness, and initiative.

2-39. Mylander, M. The Generals. New York: Dial, 1974.

This book describes the demographic characteristics, attitudes, motivation, and lifestyles of general officers. It is

based on available demographic data, unstructured observations,

and interviews as subjectively interpreted by this journalist.

In Chapter 9 ("Jobs Generals Do"), Mylander describes the different positions generals hold, as well as how they spend their time.

She characterizes a general's job as involving long hours spent

on a lot of different activities usually concerned with "trivial"

day-to-day operations and ceremonial functions. much of the time

is spent in conferences and meetings with both military and nonmilitary personnel and he/she has very little time alone to think

and plan.

33
2-40. Penner, D. D., Malone, D. M., Coughlin, T. M., & Herz, J. A. Field

Grade Officer Leadership. Leadership Monograph Series No. 6.

Ft. Banjamin Harrison, IN: U.S. Army Administration Center,

October 1974.

This is one of the monographs in the "Leadership for the

1970s" series (see also 1-06, 2-56). It summarizes the most important leadership behaviors of field giade officers (majors

through colonels) as perceived by the field grade officers, their

superiors, and subordinates. While a number of differences existed between the three sets of ratings, there was substantial

agreement on the most important field grade officer behaviors:

awareness of unit morale, technical competence, effective communication with subordinates, knowledge f men and their capabilities,

and the establishment of high performance standards. The following

differences existed between the three sets of ratings. Field grade

officers emphasized making their desires and expectations known to

their subordinates, superiors were concerned with the field grade

officers' attitude toward their job and with the ethical issue

of distorting reports, and subordinates emphasized field grade officer personal characteristics. All three groups perceived the

field grade officer as establishing and maintaining too high a

level of discipline. (The results reported here may be only suggestive of senior officer behavior, however, since the colonel

data were not analyzed separately, and there may, in fact, be differences in functions and skills between major and colonel positions. Also, it is difficult to evaluate the results since they

are only summarized with no statistical analyses presented.)

2-41. Porter, L. W. & Ghiselli, E. E. The self-perceptions of to[ and

middle management. Personnel Psychology, 1956, 10, 397-407.

The researchers asked middle and top level managers to describe their personal traits on an adjective checklist and found

two very different sets of self-perceptions. Each group described

themselves as possessing characteristics that fit the position

they occupy, according to the researchers. The traits reported

by top managers (e.g., active, candid, self-reliant, willing to

take risks, etc.) were characteristic of the action-oriented,

creative planner of general policies, while the middle managers

described themselves with traits that fit the role of a translator

of broad policy into specifics (e.g., cautious, conforming,

methodical, etc.). The authors conclude that each sees his role

as being different from those of the other managerial group.

2-42. Porter, L. W. & Mitchell, V. F. A comparative study of need satisfaction in military and business hierarchies. Journal of Applied

Psychology, 1967, 51, 139-144.

Air Force personnel completed a questionnaire measuring need

satisfaction and fulfillment. The results for three levels of

commissioned officers were compared to previous results for ana±igous levels of civilian managers (BG/COL vs. vice-presidents;

LTC/MAJ vs. upper middle managers; CPT/LT vs. lower middle managers).

Among the findings were: (1) Need satisfaction increased at higher

34
organizational levels in both military and industrial samples.

(2) Military officers were more dissatisfied across all ranks

as compared to their civilian counterparts. (3) At the senior

management level, the BG/COL group showed a higher level of

satisfaction on the social and safety needs than the civilian

vice-presidents but were lower on autonomy, esteem, and selfactualization needs.

2-43. Puryear, E. G., Jr. Nineteen Stars. Washington, D.C.: Coiner

Publications, 1971.

The book highlights those skills necessary to be a truly

great commanding officer by describing the careers and characteristics of four retired Army generals (GEN George S. Patton,

Jr. and Generals of the Army George C. Marshall, Douglas MacArthur,

and Dwight D. Eisenhower) , based on interviews with people that

knew them. Among the common characteristics cited were: inner

strength, knowledge of one's craft, ability to inspire confidence

in one's men, power to bring out the best in men, ability to triumph over adversity, equity, humanity, courage, the ability to

make decisions, a desire to be a commander, and a willingness to

dedicate oneself to becoming an effective commanding officer.

2-44. "Qualities needed for a successful chief staff executive," Association Management (Special Issue: "Leadership"), 1978 (November),

54-55.

Using one open-ended question, chief staff executive officers

and members of the Foundation of the American Society of Association Executives were asked to describe the necessary qualities

of an effective chief staff executive. This article highlights

the major findings. Both groups agreed on the skills that were

most important ("interpersonal/human relations" and "hard work")

and least important ("communication skills" (e.g., speaking and

writing ability) and "leadership"). "Planning and intelligence"

were considered more important by staff executives than members

while members evaluated "integrity" and "knowledge of others"

higher than did the staff executives. (The fact that individuals

in this nonindustrial organization evaluated "communication" and

"leadership" as relatively unimportant executive skills may indicate that functions and skills differ according to the type of organization. Also, the fact that members and executives of this

organization have different perceptions may indicate that perceived

skills differ as a function of level. However, it is difficult to

draw substantive conclusions from the study since the rationale

used to develop and define the classification system categories

is not given.)

2-45. Reeser, C. Executive performance appraisal--The view from the top.

Personnel Journal, 1975, 54, 44-46, 66-68.

Reeser asked 14 chief executive officers of multimilliondollar companies to describe the characteristics they consider

most important in evaluating their vice-presidents and then

35
subjectively grouped the responses into skills/characteristics

categories. Profit-making ability was considered the most important skill by a majority of the respondents. Other significant skills included the ability to select and develop future

managers, the ability to motivate, to get along with peers, and

the ability to present the company in a favorable light to outside sources. Among the personal characteristics rated highly

were: integrity, commitment to hard work, long hours, and depth

of thinking. (Unfortunately, the competency categories were not

very well defined by the author. The vagueness was due in part

to the actual answers given by the chief executive officers

(e.g., "he must show me a really high-level thinking process").

This may indicate that the executives themselves are not at all

clear on the specific criteria for effectiveness.)

2-46. Rosen, H. Desirable attributes of work: Four levels of management

describe their job environments. Journal of Applied Psychology,

1961, 45, 156-160.

Using a structured questionnaire, managers at four different

levels of a farm implements industry were asked to describe how

characteristic each of 24 job/organizational climate conditions

was to their jobs. No differences were found between top and midlevel managers. However, the positive job conditions were seen

as more characteristic by top and middle managers than by those

at the lower two levels. The author concludes that the higher one

goes in the organization, the more positive is the organizational

climate when the organization is broken up into a two-level tier.

(The applicability of these results to executives is somewhat

questionable. While the highest organizational level sampled

was said to be composed of "top level managers," these people

were described as subordinates of the general manager. Hence,

they may in fact have been closer to mid-level managers rather

than to the executive class. Also, none of the 24 items received

more than a "moderately important" rating, suggesting that the

conditions chosen did not adequately describe the managers' jobs.)

2-47. Rosen, H. & Weaver, C. G. Motivation in management: A study of four

managerial levels. Journal of Applied Psychology, 1960, 44,

386-392.

Using a structured questionnaire, managers at four different

levels of a large farm implements plant were asked to describe how

important each of 24 job/organizational climate conditions was for

them. There was a high degree of commonality across all four

levels and the authors suggest that "management" may be described

as a generic class, with managers at all levels sharing perceptions

about what they want from their jobs. (Since this study used the

same methodology as the Rosen (1961) study (see 2-46), the same

criticisms apply.) -

36
2-48. Sayles, L. R. Leadership: What Effective Managers "Really" Do--and

"How" They Do It. New York: McGraw-Hill, 1979.

The book describes managerial functions, activities, and personal characteristics based on the author's own studies and other

published works. The author emphasizes that all managerial roles

(especially at the executive level) can only be described in the

context of the complex, ever-changing organization of which the

manager is a part. In line with this systems orientation, managerial behavior is described in terms of "contingency responses"

(coping with threats to the integrity of the system) and "uncertainty reduction" (adapting to changes). Both functions require

individuals who persevere, are flexible, have a high frustration

threshold, have the ability to understand and integrate the interrelated elements of the organization, and have the ability to interact with and persuade members of the vertical and horizontal

system.

2-49. Shartle, C. L. Executive Performance and Leadership. Englewood

Cliffs, NJ: Prentice Hall, 1956.

The author uses his own personal experiences, earlier theoretical writings, and past research results (largely based on the

Ohio State Leadership Studies series) to describe effective executive behaviors. As with most publications in the Ohio State series,

the book emphasizes subordinate/superior rplationships and the importance of "consideration" and "initiating structure" behaviors.

However, it also discusses other aspects of the organization's

internal and external environment as being important to fully understand and predict effective executive functioning.

2-50. Stewart, R. Managers and Their Jobs. London: MacMillan, 1967.

In a study of what managers actually do, middle and senior

British managers were asked to keep a diary recording where and

with whom they spent their time over a 4-week period. (Managers

were also asked to record job functions, e.q., planning, sales,

etc., but the data proved to be unreliable and was not reported.)

Results showed that activities did not differ by level or by job

type (e.g., sales, production, etc.). Rather, they varied on the

basis of amount of contact with other people, who that contact was

with, and the amount of uninterrupted time. Stewart suggests

that training programs should be developed on the basis of these

criteria, rather than by position or organizational level.

2-51. Stryker, P. Who are the executives?--I. In FORTUNE, The Executive

Life. Garden City, NJ: Doubleday, 1956. Pp. 15-26.

This chapter summarizes the results of a FORTUNE magazine

study on executive functions, based on a survey of over 1,100

executives, lower level managers, and professional consultants.

Respondents generally agreed on the functions of an executive

(planning, delegating responsibility, organizing, coordinating,

etc.). They also agreed that an executive can be distinguished

from a manager (i.e., an executive develops plans and a manager

37
implements them). However, there were differences of opinion as

who constitutes the "executive class." Some believed that since

most managers perform executive functions, most managers are executives. Others indicated that the "real" executives are only the

"top few."

2-52. Sussman, J. A. Making it to the top: A career profile of the senior

executive. Management Review, 1979, 68(7), 15-21.

The article summarizes the results of a survey administered

to 1,700 executives in 750 of the largest U.S. companies, asking

them to describe personal characteristics associated with their

success. "Concern for results," "integrity," and "desire for responsibility" were mentioned most often as necessary for improving

an executive's chances for reaching the top, and "hard work" was

seen as the biggest single factor for successfully accomplishing

executive duties. "Exceptional intelligence," "conceptual ability,"

and "technical competence" were mentioned by only a small percentage of those questioned.

2-53. Tannenbaum, A. S., Kavcic, B., Rosner, M., Vianello, M., & Wiuser, G.

Hierarchy in Organizations. Washington: Jossey-Bass, 1974.

This book presents the results of a series of cross-cultural

studies on factors related to power and its distribution in industrial organizations. In Chapter 6 ("Gradience of Reaction and

Adjustment"), a study is described indicating that job satisfaction

and personal adjustment increased steadily from lower to higher

organizational levels. The authors suggest that these results reflect the unique job characteristics and demands present at each

level. They note that the levels differ on such dimensions as

degree of power, status, control, structure, pay, job challenge,

interest, etc., and it is these organizational differences which

account for the psychological differences observed.

2-54. Tornow, W. W. & Pinto, P. R. The development of a managerial job

taxonomy: A system for describing, classifyinq, and evaluating

executive positions. Journal of Applied Psychology, 1976, 61,

410-418.

This study developed and cross-validated the Management Position Description Questionnaire (MPDQ) for describing the job content of executive positions in terms of their responsibilities,

concerns, restrictions, demands, and activities. A factor analysis

of the MPDQ responses revealed 13 independent job factors. All

positions were then compared and grouped into 10 homogeneous

clusters in terms of the similarities and differences in their 13-

factor job profiles. Possible applications of this taxonomy to

major areas of personnel psychology are discussed.

38
2-55. Trussell, J. B. B., Jr., COL. "Professional generalship" and the

USAWC curriculum. Carlisle Barracks, PA: U.S. Army War College,

1971.

Using the 1971 general officer assignment list and the subjective opinions of general officer assignment experts, the author

identifies general officer positions, functions, and skills. General officer positions were classified into five job types: Management/Administration, MAAGS/Military Diplomacy, Operations/

Tactics, Policy/Strategy (mostly 09 and 010 positions), and Branch

Material (mostly 07 and 08 positions). According to the general

officer assignment experts, major functions and skills involve

interactions with nonmilitary personnel and agencies. Other

necessary functions and skills are in the areas of management/

administration, subjective appraisal, and legaL matters, especially as they affect the military/civilian interface. The author

emphasizes the importance of communication skills in dealing with

the external environment. (Although this study provides some

valuable information, it should be noted that the author is a

speech writer and his conclusions may have been affected by his

personal biases. It may be necessary to replicate this study before drawing any firm conclusions.)

2-56. "Understanding today's young executive," Nation's Business, 1977,

65(9), 90-94.

This popular magazine article describes the personal qualities

of today's "young executives" (no definition given), based on a

survey of business college deans. These executives are portrayed

as aggressive, realistic, independent, and impatient individuals

who have a greater concern for social issues and the external environment than past executives but are less influenced by organizational loyalties. They also lack listening skills, and an appreciation of long-range thinking and "a balance between thinking

and action" (also not defined).

2-57. U.S. Army War College. Leadership for the 1970s: USAWC Study of

Leadership for the Professional Soldier. Carlisle Barracks, PA:

October 1971.

Using interviews and a structured questionnaire on leadership principles and functions, this study measured leadership

climate, attitudes, and expectations as perceived by Army NCOs

through colonels. The following findings are especially relevant

to senior leadership: (1) Degree of satisfaction with Army leadership increased steadily with grade level. The respondents indicated least satisfaction with junior NCO leadership and were

most satisfied with the leadership at the general officer level.

(2) The perception of the relative importance of specific leadership principles varied among grade levels. (3) The extent to

which officers and NCOs are perceived to successfully perform

their leadership functions depends upon the grade level and the

particular function measured (i.e., the functions which respondents

indicated colonels perform adequately (or inadequately) were not

the same as those for lower levels). The report also contains an

39
annotated bibliography of 176 leadership publications prior to

1971 that were used by the authors to develop the questionnaire

and hypotheses.

2-58. U.S. Army War College. Senior Service College Position Validation

Study. Unpublished Manuscript, Carlisle Barracks, PA, 1979.

The manuscript reports preliminary results of a senior officer job analysis. Using a self-report questionnaire format,

colonels and general officers rated 73 skills (grouped into the

seven skills/knowledge areas taught at USAWC) on importance and

level of expertise required to accomplish their duties. The most

important perceived needs of both general officers and colonels

appear to be in the leadership area ("communication skills" and

"personal qualities associated with effectiveness") followed

closely by managerial skills ("decision-making techniques" and

"knowledge of organizational systems and procedures"). Military

skills and knowledge of domestic and international issues were

seen as more necessary for general officers than colonels, but

neither group considered them as important as the leadership and

management skills. While the rank ordering of these skill categories on perceived importance and required expertise level were

the same at both senior officer levels, general officers reported

requiring a greater level of expertise in all subareas, especially

in the military skills and knowledge of domestic and international

issues areas. Among colonels, slight differences existed in the

skill rankings as a function of job type, particularly on the less

necessary skills (e.g., military skills, domestic and international

knowledge). However, the ratings on perceived importance and required skill level appear to be fairly consistent among colonels,

regardless of educational background, source of commission, or type

of position. (The study is an excellent first step in learning

about the necessary skills and functions of senior leaders. However, one should be cautious about drawing any firm conclusions

from this preliminary data analysis. Only descriptive statistics

are reported; there appears to be a great deal of variability

among respondents, and the skill items were grouped on the basis

of face validity only. Also, since the researchers chose skills

reflecting the USAWC curriculum, they may not necessarily reflect

all (or even the most important) senior leadership skills.)

2-59. Van Nostrand, S. J. & Wallis, M. R. General Officers' Views on Continuing Education/Updating Program for General Officers. Research

Problem Review 78-3. Alexandria, VA: U.S. Army Research Institute

for the Behavioral and Social Sciences, April 1978.

The report provides a qualitative summary of questionnaire

responses by general officers concerning the need for general officer continuing education programs. Although there were differences

of opinion, the majority of general officers indicated that there

was a need for such a program, and that it should involve information updates on policy changes. One of the open-ended questions

asked for areas in which the general officers were least prepared.

40
"Management skills" (installation, financial, and resource) were

mentioned most frequently. This was followed by "civilian personnel" and "modern training methodology." Unfortunately, these

latter categories were not defined. This survey also included a

question on the most important trainable personal traits officers

(at all ranks) should have. There was very little agreement as

no single trait was mentioned by more than 4 of the 50 general officers sampled, and 2 of the officers suggested that, "by the time

an officer makes general, whatever traits he has are fixed."

2-60. WhiteJy, W. T. Nature of managerial work revisited. Proceedings

of the Eighty-Fourth Annual Meeting of the Academy of Management,

San Francisco, 1978, 195-199.

Using a time sampling technique and a position description

questionnaire, this study attempted to describe the activities

and functions of seven senior industrial managers. There was a

great deal of variability in the measures and no significance

tests were used on this small sample. However, the author characterizes his executives as spending most of the time (1) verbally

communicating, (2) in formal meetings, (3) of short duration,

(4) with one or two people, usually subordinates. The content of

the activities focused around transmitting and receiving information rather than decisionmaking. Also, the executives reported

that complexity and stress are not characteristic of their work.

2-61. Williams, R. E. A description of some executive abilities by means

of the critical incidents technique. Unpublished doctoral dissertation, Columbia University, 1956.

Using a sample of 742 manufacturing executives (general managers through board chairmen), critical incidents describing especially effective and ineffective performance were accumulated

by interviews. Eighty-two critical job requirements were identified and grouped into the following six categories: planning,

organization, and execution of policy; relations with associates;

technical competence; work habits; adjustment to job; and coordination and integration of activities.

2-62. Winter, D. G. Navy Leadership and Management Competencies: Convergence among Tests, Interviews and Performance Ratings. Boston,

MA: McBer and Co., 1978.

This is a follow-up to the Klemp et al. (1977) study on

naval officer competencies (see 2-31). The report describes the

development and validation of a test battery to measure the skills

identified in the earlier study. Many of the test battery variables

significantly correlated with competencies of the early study were

significantly related to ratings of overall performance for leadership and management skills but not for technical competencies. The

specific correlation patterns depended upon organizational level.

At the highest officer level sampled (executive officers and commanding officers), the most important prerequisite of superior

performance was found to be concern for the controlled use of

41
influence and its impact on others. The better officers at this

level were also found to have superior scheduling skills and to

manage by optimizing (making the best of a situation and getting

others to work together). Their motive pattern showed a high inhibition need and a high need for social power relative to affiliation. Also, they were more oriented toward organizational accomplishment than self-gain.

Additions

2-63. Wortman, M. S. & Sperling, J. Defining the manager's Job. New York:

AMACOM, 1978.

This is largely a handbook of position descriptions of top

and mid-level managers (mostly the latter) from 142 organizations.

The author suggests that descriptions of top officials are not

done very much because many believe the duties are quite clear

and require no formal description.

2-64. Ghiselli, E. E. Managerial talent. American Psychologist, 1963,

18(10), 631-642.

The author discusses the importance of five competencies for

effective management (supervisory ability, initiative, selfassurance, perceived occupational level and intelligence), and describes the results of a research program where questionnaire

measures of these characteristics were correlated with self- and

other-ratings of performance at different organizational levels.

Supervisory ability, self-assurance, and perceived occupational

level (a measure of aspirations) were found to increase as a function of organizational level. Initiative was highly associated

with performance at mid-level and top management, but showed no

relationship at the lower management levels. In general, intelligence increased as a function of level. However, at the highest

organizational level, those executives in the top 3% of the I.Q.

scale showed a negative relationship with performance. The author

concludes that those who progress up the organizational ladder are

well endowed intellectually, gifted with the capacity to direct

others, self-stimulated to action, confident in their abilities,

and strive for positions where their abilities can best be utilized.

42
SECTION 3: NONEMPIRICAL LITERATURE

43
Most of the 43 listings in this section are conceptual pieces and have

been included in this bibliography as possible sources of testable hypotheses for future research. Table 3 summarizes their content. Like the empirical literature, most of these listings are from the private sector. The

military contributions include four personal opinion essays by senior officers on the needed competencies of top level leaders (04, 30, 31, 36), two

documents on official Army policy (38, 39), one essay projecting future skill

needs (42), and a sourcebook on Professional Military Education (43). Only

one personal opinion essay (05) could be found that compares the necessary

competencies of military and nonmilitary senior leaders.

Many of the listings can be classified as "practical guides for the successful executive" and are based largely on conventional wisdom and the authors' personal experiences as consultants or senior leaders. Some emphasize

executive functions (02, 08, 10, 37); others concentrate on competencies (03,

07, 11, 14, 17, 21, 22, 30, 31, 33, 36) and some discuss both (05, 09, 12,

13, 18, 28). Of these listings, four (02, 08, 10, 37) are considered "classics." Collectively known as "Functional Theories," they were written in the

first half of the twentieth century and serve as a basis for much of the

current literature.

Some are based on more than personal experiences, as the authors also

use the existing theoretical and empirical literature to develop their ideas.

Of these, some emphasize competencies (01, 06, 15, 16, 20, 24, 34); others

discuss job-related variables such as what executives actually do (27, 32,

41), their roles (26, 27), and the importance of the internal-external enviroment interface (25) . Three others in this classification discuss the

need for matching competencies with a particular job (04, 29, 40).

44
Four of the listinqs that base their ideas on more than personal experiences (19, 23, 24, 35) have been especially influential in stimulating

other empirical and nonempirical contributions. All are theories that

postulate differences in functions and/or skills according to hierarchical

level. These theories were derived from observations in industrial organizations, but all claim to be applicable to other organizations as well.

45
Table 3

Descriptive Contents of Nonempirical Literature (Section 3)

Organization Type Target Group Subject Matter

Non- Mil-Nonmil Senior Level Job-Related

Military military Comparison Leaders Comparisons Competencies Variables

04 01 05 01 42 06 01 02

30 02 02 43 19 03 04

31 03 03 23 04 05

36 06 04 24 05 08

38 07 05 26 06 09

39 08 07 35 07 10

42 09 08 09 12

43 10 09 11 13

11 10 12 18

12 11 13 19

13 12 14 23

14 13 15 25

15 14 16 26

16 15 17 27

17 16 18 28

18 17 19 29

19 18 20 32

20 20 21 35

21 21 22 37

22 22 23 40

23 25 24 41

24 27 28 42

25 28 29

26 29 30

27 30 31

28 31 33

29 32 34

32 33 36

33 34 38

34 36 39

35 37 40

37 38 42

40 39 43

41 40

41

46
3-01. Argyris, C. Characteristics of successful executives. Personnel

Journal, 1953, 32, 50-55.

The author describes 10 characteristics of successful executives, based on his own personal observations. He suggests that

successful executives exhibit high frustration thresholds, encourage full participation, continually question themselves, accept

competition, express hostility tactfully, accept victory as well

as defeat with controlled emotions, understand they are limited

by their environment, strongly identify with some group, and seek

realistic goals.

3-02. Barnard, C. I. The Functions of the Executive. Cambridge, MA: Harvard University Press, 1938.

Although it has been criticized for its esoteric style and use

of vaguely defined terms, this often-cited book is considered a

(if not "the") classic in the area by both theoreticians and practitioners. Based on the author's personal experiences as an executive, it provides a sociological analysis of formal organizations

(industrial as well as nonindustrial) and their relation to executive functions (control, management, leadership/supervision, and

administration). He suggests that an effective executive is one

who can successfully formulate policy, coordinate all elements

(human and nonhuman), and develop an efficient communication system. Communication and interpersonal skills are considered essential to accomplish these functions. He also draws a clear distinction between "executive" functions and "executive" positions,

arguing that the functions are exercised by all those in positions

of control, regardless of level.

3-03. Basil, D. C. Measuring Skills for Executive Action. New York: American Management Association, 1970.

This American Management Association publication offers suggestions to executives on how to improve their functioning. The

book discusses managerial skills (how to design and implement controls, set objectives, and structure/coordinate) and interpersonal/

leadership skills (understanding human behavior and motivation).

The author suggests that these two sets of skills become increasingly important the higher one rises in the organization. He also

mentions that leadership and management skills are complemented by

conceptual skills but he does not discuss these latter skills

directly.

3-04. Bletz, D. F., COL. The modern major general (vintage, 1980), Parameters, 1974, 4, 40-51.

This personal opinion essay discusses the necessary skills of

a senior officer. It argues that officers from lieutenant colonel

through general need to know about the civilian society, its problems, and political policies. The author contends that an allvolunteer Army and increased government regulations have led to a

greater interdependency between the Army and its parent society;

thus a knowledge of the interface is a prerequisite of the senior

47
officer. The author also discusses the advantages and disadvantages of different managerial styles, suggesting that effectiveness

depends on matching the appropriate managerial style to the

situation.

3-05. Bradley, 0. N., GEN. Leadership. Military Review, 1960, 46, 48-53.

General of the Army Omar Bradley describes the necessary functions and characteristics of senior leaders based on his own experiences in military and industrial organizations. The General

argues that leadership functions and skills are the same in both

sectors. According to General Bradley, leaders have two functions:

planning (information collection and analysis, policy formulation,

and decisionmaking) and execution (coordinating efforts and inspiring others to do the job). The latter is considered the more important of the two and can be accomplished by combining personal

qualities (character, conviction, and outstanding physical and

mental energy) with interpersonal skills (human understanding, consideration of others, and the ability to reward as well as punish)

and managerial skills (the ability to identify, select, and develop

a competent staff, a thorough understanding of and interest in all

parts of the organization, and skills at soliciting inputs from

others).

(This article has had a great influence on the Army's leadership doctrine of the past decade. General Bradley has presented

it to students at both the U.S. Army Command and General Staff College (USACGSC) and the U.S. Army War College (USAWC), its contents

form the basis of most leadership manuals written in the past 10

years, and it serves as a foreword to USAWC's series of pamphlets

on "Leadership for the 1970s" (see 1-05, 2-40, 2-57). It is interesting to note that General Bradley (and the Army) emphasizes

"execution" skills, while most writers in the industrial community

stress "planning.")

3-06. Brunson, R. R. Perceptual skills in the corporate jungle. Personnel

Journal, 1972, 51, 50-53.

Brunson, a management professor, suggests that the higher a

manager rises in the corporation, the more unstructured and illdefined the job becomes. To effectively cope with such a situation,

executives must motivate employees toward goal accomplishment

through the informal communication network. This requires three

basic sets of skills: technical (a knowledge of one's specific

specialty area); structural (abilities to plan, organize, direct,

activate, lead, motivate, control, and communicate); and perceptual/

cognitive skills. This latter set of skills is considered the most

important by the author, and includes an understanding of the major

organizational goals and values, the ability to distinguish significant from trivial information, and the ability to absorb, evaluate,

and clearly transmit messages. (This article is basically an

elaboration of an earlier "skill mix" theory (see 3-24), but with

a clearer statement of the necessary conceptual skills. Interestingly, the author does not include this theory among his references.)

48
3-07. Costello, J. What it takes to be a chief executive. Nation's Business, 1977, 65, 6.

A chief executive describes the skills required for his position. These include technical know-how, aptitude for long-range

planninq, and the ability to carry on external relations with the

many publics that are important to a company. Also, he should have

integrity, be people-oriented, have a personality that instills

confidence and respect, and possess natural leadership ability,

intelligence, an open mind, flexibility, and self-confidence.

3-08. Davis, R. C. The Fundamentals of Top Management. New York: Harper,

1951.

This 800-page volume describes the author's philosophy of

effective executive management, based on his personal experiences

and the existing theoretical literature prior to 1950. The approach taken by the author is described as "scientific management,"

which he _jfines as "the application of the logic of effective

thinking to the solution of business problems." The book provides

a detailed description of what the author perceives to be the three

major functions of the executive (creative planning, organizing,

and controlling) and suggests how these functions should best be

carried out by describing well over 100 principles of management.

3-09. Drucker, P. F. The Effective Executive. London: Heinemann, 1967.

A "self-training" book by a well-known consultant on what an

effective executive should do. Conceptual skills are most important, according to Drucker, for the executive's major task is to

structure the situation and eliminate obstacles so he can "think"

(i.e., plan and decide). The effective executive is described as

one who (1) is goal/results-oriented, (2) manages time well,

(3) emphasizes his/her strengths, (4) is good at selecting and

developing competent people, and (5) is an effective decisionmaker.

This latter characteristic implies that the executive is able to

identify the root problems, specify what decisions must be made,

convert decision into action, obtain accurate feedback, and modify

plans when necessary.

3-10. Fayol, H. General and Industrial Management. London: Pitman, 1949.

First published in 1916, this treatise by a French industrialist serves as a basis for most of the later functional theories in

the field. It discusses four necessary functions of management

(planning, organizing, command/supervising, coordination, and

control/monitoring) and sets forth 14 principles/requirements of

an effective organization. Fayol suggests that a well-run organization should have a clear organizational structure in terms of

division of labor, authority, responsibility-assignment, and chain

of command; an equitable and well-specified set of rules, standards,

and penalties; employment stability; and a climate encouraging

initiative, cohesiveness, and harmony. The author also emphasizes

the need for management education to learn how these requirements

should be implemented.

49
3-11. Fox, J. M. Executive Qualities. Reading, MA: Addison-Wesley, 1976.

Guided by personal experience, the author suggests that 12

"personal" and "mental" qualities (e.g., courage, integrity, nimblemindnedness, etc.) combine to form 6 "abilities" characteristic of

an executive's role (judgment, communication ability, leadership,

political astuteness, and foresight). (Unfortunately, neither the

qualities nor abilities are clearly defined (e.g., "Leadership, as

distinct from sales ability, is simply the ability to lead others"

(p. 190).)

3-12. Gardner, N. D. Effective Executive Practices. Garden City, NJ:

Doubleday, 1963.

This is a programmed text aimed at helping executives function

more effectively. The book offers suggestions on effective use of

time, delegation, planning, decisionmaking, and management controls.

3-13. Goble, F. G. Excellence in Leadership. New York: American Management Association, 1972.

The book describes the effective executive on the basis of

quotes from successful executives and the author's personal experiences as a consultant. The effective executive is characterized as one who (1) is goal-directed, (2) develops clear plans for

setting and achieving goals, (3) is a creative problem-solver who

can adapt to change, and (4) does not simply conform, but (5) is

willing to take risks in developing and implementing plans he believes are right.

3-14. Goetzinger, C. & Valentine, M. Problems in executive interpersonal

communication. Personnel Administration, 1964, 27, 24-29.

An essay by two organizational consultants on persistent communication problems encountered in their work with executives.

Many executives, they contend, fail to recognize that a communication system is not an inanimate structure, but a series of interpersonal relationships composed of human beings who (1) can process

only a limited amount of information, (2) do not accurately receive

messages they perceive as threatening or cannot understand, and

(3) hesitate to send accurate, innovative information if they feel

honest feedback is discouraged, will be used against them, or will

not affect planning and decisionmaking. The authors suggest executives must create a climate of openness and trust that discourages

the tendency to filter out unpopular or negative ideas and encourages honest, innovative upward communication.

3-15. Heffner, R. W. What makes a good executive? Advanced Management,

1954, 19(12), 21-23. (Also in P. D. Grub & N. M. Loeser (Eds.),

Executive Leadership: The Art of Successfully Managing Resources.

Wayne, PA: MDI Publications, 1959, pp. 104-108.)

The author argues that one must go beyond a general description of the primary executive functions (planning, organizing,

50
directinq, coordinating, and controlling) to specify the skills/

characteristics necessary to perform these functions. Six sets

of trainable skills and four characteristics needed to learn these

skills are discussed. The skills include: (1) an ability to

recognize the optimal time for introducing policies; (2) comnunication skills; (3) the ability to discover critical elements of a

situation and arrive at novel solutions; (4) the ability to reason

deductively and inductively; (5) skills at involving subordinates

in the decision-making process; and (6) an ability to persuade and

motivate. The four personal characteristics are intelligence,

stability (e.g., inner poise to create consistency of action), empathy, and social sensitivity (an understanding of interpersonal

and group processes).

3-16. Held, W. G. Executive skills: The repertoire needs enlarging. Columbia Journal of World Business, 1967, 2(2), 81-87. (Also in P. D.

Grub & N. M. Loeser (Eds.), Executive Leadership: The Art of Successfully Managing Resources. Wayne, PA: MDI Publications, 1969.

Pp. 70-79.)

According to the author, executives must increase their understanding of the socio-economic issues in the society at large and

the organization's role in society, because of the growing interdependency between industry and government. He suggests that this

element should be incorporated into management theories and education programs, and calls for systematic research to define the

necessary skills.

3-17. Henry, W. E. The business executive: The psychodynamics of a social

role. American Journal of Sociology, 1949, 54, 286-291.

This article lists and describes characteristics of chief

executive officers. The author contends that the successful executive represents a crystallization of many of the attitudes and

values of American society.

3-18. Hunt, B. Managers of change: Why are they in demand? Advanced Management Journal, 1980, 45(1), 40-44.

The author offers his personal opinions about the skills required of today's executive. He suggests the effective executive

is one with multidimensional skills who can adapt to a rapidly

changing environment. Among the required skills are farsightedness, an understanding of human behavior, the ability to motivate

others, and the capacity to relate business problems to the world

at large.

3-19. Jaques, E. A General Theory of Bureaucracy. New York: Halsted, 1976.

The author presents a theory of organizational structure along

with some illustrative data from his extensive work with a large

British manufacturing firm. The theory views organizations as being

composed of discrete (discontinuous) hierarchical levels, distinguished by the time frame with which the manager must be concerned

51
and the level of abstractness characterizing the work. The theory

suggests that senior level managers must be capable of long-range

planning (i.e., time spans beyond 2 years) and abstract thinking.

Not everyone is capable of becoming an effective senior leader,

the author contends, for individuals differ in their capacity to

perform these cognitive functions.

3-20. Jennings, E. E. The Executive: Autocrat, Bureaucrat, Democrat. New

York: Harper & Row, 1962.

The author believes that an effective chief executive is one

who has the flexibility and self-confidence to adapt to a constantly

changing environment filled with uncertainty. He discusses the

three basic leadership styles (Autocrat, Bureaucrat, and Democrat)

and introduces a fourth, the "Neurocrat," whom he feels typifies

many executives of the 1960s: an anxiety-ridden, insecure, inflexible individual with high needs for power, order, and achievement. He suggests that none of the four types can adapt optimally

to the executive's environment. He proposes a style which blends

features of the basic three types.

3-21. Johnson, F. R. Specialists vs. generalists: Who runs the company?

Management Review, 1980, 69(1), 43-45.

A personal opinion essay arguing that chief executive officers

should be generalists who can speak knowledgeably on many phases of

business, since corporations go through cycles requiring different

management skills. k

3-22. Jones, E. E. Industrial Leadership and Executive Ability: Lessons

To Be Drawn from the History of War, Science and Statecraft.

Easton, PA: Hive Publishing Company, 1974.

Originally written in 1914, the author believes the successful

leader has personal characteristics traditionally associated with

generals, scientists, and diplomats. The book develops primary

principles of administration from histories and biographies of

famous people in these areas.

3-23. Katz, D. & Kahn, R. L. The Social Psychology of Organizations (2nd

ed.). New York: Wiley, 1978.

In Chapter 16 ("Leadership") of this well-known work on the

organization as an open system, Katz and Kahn present a leadership

theory emphasizing the importance of influence/power bases not decreed by the organization. The authors distinguish three leadership patterns: Origination (creation, change, and elimination of

structure), Interpolation (supplementing and piecing out structure),

and Administration (using structure that already exists), cor-esponding approximately to the top, middle, and bottom levels Df an

organization, respectively. For each of these levels, Katz and

Kahn have suggested a cognitive and an affective requirement. At

the Origination level, the one most closely associated with top

52
management, the cognitive requirement is a "systemic perspective."

This involves an ability to change or create new structures and an

awareness of the organization's relationship with its environment

and interrelation among organizational subsystems. The affective

component, which is called "charisma," is an aura surrounding a

leader that separates him from the general membership. It arises

from the leader's ability to satisfy the dependency needs of his

followers through dramatic leadership acts.

3-24. Katz, R. L. Skills of an effective administrator. Harvard Business

Review, 1974, 52, 80-108.

In a 1955 issue of Harvard Business Review (Vol. 33, pp. 33-

41), Katz postulated that all leaders require three basic types of

skills, technical skills (an understanding of and proficiency in a

specific kind of activity), human skills (understanding and motivating individuals in groups), and conceptual skills (coordinating

and integrating all the activities and interests of the organization

toward a common objective), with their relative importance varying

according to managerial level. As one ascends the organization

hierarchy, technical skills become relatively less important, the

need for conceptual skills increases rapidly, while human skills

remain equally important at all levels. He suggested that these

different "skill mixes" should be taken into account in selection,

training, and development.

The current article presents the original theory along with a

retrospective commentary by its originator. In general, Katz

stands by his original skill mix formulation, but modifies his

definitions of the human and conceptual skills and expands upon

the chief executive's role. Human skills are divided into two

(mutually incompatible) components: Leadership within the manager's own unit and intergroup relationship skills, the latter

being more important at senior management level. Katz now sees

conceptual skills as an innate, largely untrainable ability to

think in terms of uncertainties and probabilities. The successful

chief executive must be an efficient operator and an effective

strategist, according to Katz, whose necessary skill mix varies

as the organizational requirements change. The executive must

depend upon conceptual and technical skills when the organization

is in difficulty, conceptual and intergroup skills when developing

and expanding, and human skills when maintaining the organization

on its present course.

3-25. Makrianes, J. K., Jr. External relations and the chief executive.

Public Relations Journal, 1980, 36(3), 34-35.

In this personal opinion essay by an executive search firm

director, Makrianes contends that the interdependence between organizations and their external environments has increased over the

past 10 years. To deal with this trend, the chief executive officer must have a thorough understanding of and the ability to communicate with external agencies affecting -.2ir organizations.

53
3-26. McGregor, D. The Professional Manager. New York: McGraw-Hill, 1967.

This book contains a section on role differences between middle and upper management. The author suggests that while middle

managers deal with concrete, day-to-day problems, the executives

face a much broader and more complex set of issues. Among the executive roles discussed are: planning, coordinating, establishing

broad policies, interfacing the internal-external environment, assessing subordinate behavior, analyzing the consequences of inadequate performance, and evaluating accomplishments of the organization as a whole. The author also points out that managerial roles

are different from position descriptions because management behavior

is contingent on the personal characteristics of the office holder

as well as on a constantly changing environment.

3-27. Mintzberg, H. The manager's job: Folklore and fact. Harvard Business Review, 1975.

In this article, Mintzberg contends that research shows managers are not the systematic, reflective planners that the theories

postulate. Rather the job pressures drive the manager to be "action" (not "thinking") oriented, responding to immediate needs

rather than to long-range plans. Managers are described as individuals who are superficial in their actions, overload themselves

with work, encourage interruptions, respond quickly to stimuli,

seek the tangible and avoid the abstract, and make decisions in

small increments. Mintzberg also reviews his category system of

managerial roles presented in an earlier book (see 1-18) and reiterates the need for skills training.

3-28. Mitchell, W. N. The Business Executive in a Changing World. New

York: American Management Association, 1965.

This book presents opinions based on the author's personal

experiences as a consultant on what top level managers must know

to be successful. The author believes the major problem of management is "leadership" (i.e., how to organize available human

effort). Effective leadership, in turn, depends upon a thorough

understanding of the following: (1) the nature and limits of authority, (2) executive functions (direction, representation, and

evaluation), (3) how to motivate people, (4) how to organize one's

time and effort, (5) how to establish order in operations, and

(6) how to deal with an ever-changing environment.

3-29. Munson, R. J., Saxberg, B. D., & Sutermeister, R. A. The modern manager: What makes him RUN? Business Horizons, 1966, 923-934.

(Also in P. D. Grub & N. M. Loeser (Eds.), Executive Leadership:

The Art of Successfully Managing Resources. Wayne, PA: MDI Publications, 1969. Pp. 51-62.)

These authors suggest that personal motivation/goals interrelate and sometimes conflict with organizational goals and therefore both must be taken into consideration to understand managerial

behavior at all levels. They believe the most important motivators

54
are: need for achievement, power motives, personality characteristics, value systems, money, power, status, prestige, competence,

affiliation, and service to others.

1-30. Newman, A. S., MG. What are generals made of? Army, 1969, 19(7),

16-21.

This essay on the characteristics of effective general officers describes the early military careers of nine famous generals.

Based on these descriptions he suggests the following "intangible

qualities" that must be developed early in an officer's career: a

professional attitude, self-confidence, a sense of perspective, and

aggressiveness modified by a sense of humor, compassion for others,

and a toleration of human error.

3-31. Newman, A. S., MG. What are generals made of?--II, Army, 1969, 19(8),

39-42.

This is the second of a two-part essay on characteristics of

effective general officers (see 3-30). It describes the "intangible qualities" of nine famous generals after they had reached the

general officer level. These qualities include human understanding; time management capabilities; an ability to meet challenges

successfully; a bold, positive, driving character--and a little

bit of luck.

3-32. Peters, T. J. Leadership: Sad facts and silver linings. Harvard

Business Review, 1979, 57(6), 164-172.

The author contends that the hectic nature of the job does

not allow executives to be the rational, orderly, systematic

decision-makers that the theorists portray. Their time is fragmented; they rarely receive all the options necessary for a rational decision, and they must be content with long time delays

between making the decision and its implementation. This is not

necessarily disastrous, according to the author, for the executive's chief function is not to be a decision-maker but to serve

as a formulator of values, and to persuade others that these values should be implemented. The author describes how to accomplish

these functions within the confines of the executive's job.

3-33. Rodman, I. The Executive Jungle. Los Angeles: Nash, 1972.

This practical guide to success is aimed at executives who

want to "hack it," as the author puts it. It describes the various

ineffective personality types Rodman has encountered as a consultant to point out traits that should be avoided.

3-34. Scanlon, B. K. Managerial leadership in perspective: Getting back

to basics. Personnel Journal, 1979, 58, 168-171, 183-184.

This personal opinion essay argues that too much time has been

spent on theories and research into management styles and too little on leadership skills specifically associated with performance

55
criteria. This type of leadership depends upon establishing performance standards, delegating authority, and coaching (performance

appraisal). The author discusses what an effective leader should

do in each area.

3-35. Tannenbaum, A. S. & Georyopolos, B. S. The distribution of control

in formal organizations. In A. S. Tannenbaum (Ed.), Control in

Organizations. New York: McGraw-Hill, 1968. Pp. 45-54.

The authors present an analytic framework and some illustrative data on the distribution of control in formal organizations

and indicate some of the issues involved as well as some of the

directions for future research. They suggest that the direction

of control is upward as well as downward and to understand the

process one must consider the degree to which an individual controls (active control) and is controlled by others (passive control) as well as who exercises the control (sources of control) and

over whom the control is exercised (orientation of control). They

suggest a relationship between these four elements will differ by

organizational level, function, and situational factors. They

note, for example, that the military control process will be different during peace and wartime.

3-36. Taylor, M. D., GEN. A do-it-yourself professional code for the military. Parameters, 1980, 4, 10-15.

GEN Taylor proposes that the ideal officer is one who can successfully and efficiently carry out all assigned tasks. Personal

characteristics needed are mental and physical stamina, a sense of

justice, patriotism, loyalty to Army and country, strength of will/

conviction, human understanding (consideration), a consultative

style, and the ability to inspire. The author notes that these

are especially relevant at senior command levels.

3-37. Urwick, L. F. The Elements of Administration. New York: Harper, 1943.

Based on his top management experience as managing director of

a British consulting firm, Urwick elaborates upon Fayol's suggested

functions of management (see ref. no. 29). He accepts Fayol's

"organizing," "command," and "control" functions but separates

"planning" into two separate functions: "plan development" and

"forecasting." In addition, he emphasizes the role of "investigation" (i.e., research and development) as a major function of a

manager. Along with a discussion of the functions, Urwick presents

29 major principles and a host of subprinciples regarding how an

effective organization should be run.

3-38. U.S. Department of the Army. Promotion of Officers on Active Duty.

Army Regulation No. 624-100. Washington, May 1979.

This Army regulation stipulates the characteristics necessary

for promotion to general officer rank. Emphasis is placed on the

ability to initiate and shape policies (i.e., conceptualize issues,

chart strategy, and formulate plans) rather than to merely organize

56
already existing solutions. Other requirements include leadership

and management skills, general staff experience, selfless dedication to serve, an ability to represent the Army and communicate

articulately with those outside the military, exhibited imagination

in challenging personnel, and past evidence of concern for his/her

subordinates and their problems. Technical specialty is not an

important consideration.

3-39. U.S. Directorate for Armed Forces Information and Education. The

Armed Forces Officer. Department of Defense Pamphlet 1-20.

Washington, 1977.

This manual is a basic source for commissioned officers in all

the military services on expected conduct and behavior. While it

is intended primarily for junior officers, the authors indicate

that the material "should be of value to officers with longer experience," implying that the basic skills and values are similar

across the rank structure. The material presented in Chapter 7

("Leader and Leadership") and Chapter 8 (""Mainsprings of Leadership") are especially relevant. Chapter 7 describes the qualities

that exceptional past military leaders had to highlight the point

that there is no one leadership type. The only characteristics

all had in common were (1) skills in organizing men into a coherent

team to reach a goal; (2) courage and willingness to take risks;

(3) physical fitness; and (4) "a strong belief in the U.S. and the

goodness of a free society." Chapter 8 describes the necessary

qualities of today's effective officer (e.g., an inherent ability

to control and direct, self-confidence based on expert knowledge,

initiative, loyalty, pride, a sense of responsibility, and a dedication to task accomplishment). The chapter emphasizes that leadership is not innate, but can be trained.

3-40. "Wanted: A manager to fit each strategy." Business Week, 25 February 1980, 166, 168, 173.

This bubiness Week article takes a contingency approach to

leadership by emphasizing the need to match an executive's personality and talent with the type of task to be accomplished. It

describes four industries that were successfully implementing this

approach.

3-41. Wrapp, H. E. Good managers don't make policy decisions. Harvard

Business Review, 1967, 45, 94-100.

The author personally believes that the portrait of a general

manager as a rational decision-maker is a myth. He describes the

executive as an opportunist who muddles through problems (although

with a purpose), concerns himself with many day-to-day operating

matters, and does not limit himself to the "big picture." He sees

the executive's function as one of giving the organization a sense

of direction and seeing that individuals work toward that goal.

Much of the article deals with what an executive should do to perform this function effectively.

57
Add i t ions

3-42. Channon, J. B., LTC. Preparing the officer corps for the 1990's.

Military Review, 1978, 58(5), 10-23.

With the help of futuristic projections from U.S., Soviet, and

German military and nonmilitary sources, the author attempts to

(1) forecast the environment senior officers will face in the 1990's,

(2) describe the necessary skills for such an environment, and

(3) suggest appropriate training formats. The military environment,

he postulates, will be highly technical and complex, characterized

by a greater interface with the nonmilitary sector while maintaining its current peace-keeping mission. In this environment, the

effective senior leader is described as a "social engineer," sensitive to the human capabilities of those who work for him/her and

proficient with the advanced weapons systems of the day. The author subsumes the necessary skills under four categories: Combat

Skills, Management Skills, Technical Depth and Organizational Effectiveness (i.e., leadership, interpersonal and communication/

language skills). He predicts that Combat and Management Skills

will remain the fundamental building blocks, while Technical Depth

and Organizational Effectiveness will become even more important.

In addition, new special skills may be required in the resource

management, information sciences, innovations, combat development,

and systems design fields, and he believes all officers must acquire the ability to adapt to constructive change. According to

the author, "thinking"/perceptual skills are basic to the development of all other competencies. He argues that the military schools

should concentrate on the development of these higher-order skills

through simulations, leaving the information teaching to continuing

education programs.

3-43. Masland, J. W. and Radway, L. I. Soldiers and Scholars: Military

Education and National Policy. Princeton, NJ: Princeton University Press, 1959.

As part of this classic volume on professional military education, the authors describe three "sets of qualifications" required

by military executives: Professional Military Qualifications, General Executive Qualifications, and Military Executive Qualifications. "Professional Military Qualifications" include technical

knowledge about military roles, functions, and organizations;

knowledge of the organization's interests and policies; and knowledge of subordinate needs and problems. "General Executive Qualifications" describe the traditional leadership and management

skills. Among these are the ability to inspire subordinates, work

harmoniously with others, communicate effectively, evaluate information and people, conduct affairs efficiently, overcome parochial

attitudes, adapt to changing environments, and grasp complicated

problem-solving situations, including the capacity to identify

problems and isolate relevant variables and relationships. "Military Executive Qualifications" include such attributes as professionalism, dedication, patriotism, self-discipline, a broad knowledge of military and nonmilitary affairs, and the ability to

interface the two environments.

58
DISTRIBUTION

I US AmMY wESTERN CDMMANU AITNi APPE

I DEPAwIMENT OF THE NAVY TRAININO ANALYbIS AND eVALUATION IROUP

I H~uA ATTN: OAAt,-WD

I US PACIFIC FLEET tUMAN RLSOUkCL MANA&LMENT DETACHMENT

I HU, ICATA ATTN: ATCAT-uP-u

I HQ, uSMEPCOM ATTN: MEPCT

HQUA RESEARCH AN) STUDIES UFC

MILIIARY OCCUPATINAL ULVLLOPMENr UIV DAPC-MSP-U, RM B52C HOFFMAN BLDG 1

HU)A OFFICE OF 1*i CHIEF OF CrAPLAINS

4 OASD (MkA AND L)

I HQOA ATTN: UAMU-RQk

I HQDA ODCSPER

I HUDA ATIN: DAMI-ISI

I USA AVIATION SYSTEMS COMO ATTN: URSAV-ZOR

I EUJAL OPPORTUNITY 6RANCH ATTN: AFZT-PA-HR

I LISA ARRADCOM ATT\: ATFE-LU-AC

I HEADWUARTERS Uh MAkINE CORPS AITN: C'UE MTMT

I HEADwUARTERS9 US AARINE CORPS ATTN: COUE MPI-20

? US AmMY EUROPE AND SEVENTH ARMY

I IST INFANTRY DIVISION AND Ff. RILEY ATTN: AFLN-UPT-T

I CHIEf, ATTITUDL + OPINION SURVELY DIVISION ATTN: ATZI-NCR-MA9 HOFFMAN 8LO IT I USA INTELLIGENCE AND SECUHITY COMMAND ATTN: IAOPS TNG-T

? HQ TKADOC TECHNICAL LIHHAHY

I MILIIARY OCCUPATIJNAL DEVLLUPMENT DIRECTORATE ATTN: ATZI-NCR-MS-M, RM 3N33 HUFFMAN BLDG I1

I DATA ANALYSIS DIVISION AIIN: ATZI-NCR-MO, HOFFMAN BLDG II

I USA MILPERCEN ATTN: DAPC-POD-T

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I H'OA ARMY FORCE 4UUDRNIZATION LUORIATION OFFICE

I HMDA ATTN: bASG-PTB

I 123D USARCOM RESERVE CENlER

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I DI4EUTORATE OF TRAINLNb AITNt AIZQ-T

I OIRELTORATE OF CUMBAT DEVLLOPMENTS ATTN: ATZ-D

I HQOAKCOM MARINE CORPS LIAISON OFC

I DEPARTMENT OF THE ARMY US ARMY INTELLIGENCE * SECURITY COMMAND

I ANNIaTON ARMY DEPOT ORGANIZATIONAL EFFECTIVENESS

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I USA PORCES COMMAND

1 PM THADE /

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I NAVAL CIVILIAN PERSONNEL LOMO SOUTHERN FLD UIV

2? ARI LIAISON OFFICE

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I HOA. OCS STUDY OFFICE

I DEPA.TMENT OF THE NAVY HUMAN RESOURCE MANAiEMENT DIVISION (OP-15)

I OEPAKTMENT OF THE NAVY HUMAN QLSOURCE MGT AND PERSONAL AFFAIRS DEPT

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I NAVAL MILITARY PERSONNEL COMMAND (N-62)

I NAVAL MILITARY PERSONNEL CUMMANU (N-61)

I NAVAL MILITARY PERSONNEL COMMAND (N-4)

I HUMAsv RESOURCE MANAGEMLNT CENTER

1 HUMAoi RESOURCE MANAGEMENT CENTEK

I U.S. NAVY TRAINING ANALYSIS EVALUATION GROUP

I USACuEC ATTN: ATEC-EX-E HUMAN FACTORS

I ATTN: SM-ALC/OPCR

I lNfEk-UNIV AEMINAR ON ARMLU FURCLS + SUC

I OASA (RDA) DEPUTY FOR SCIENCE AND TECHNOLOGY

I OFC uF NAVAL RLSLARCH /

I AFHRL/LRT

I AFHRL/LRLG

59
I AIR FORCE HUMAN RESOURCES LAB A1TN: AFHRL/TSR

I NAVY PERSONNEL k AND U CENTER /

I NAVY PERSONNEL P AND 0 CENTER UIRLCTDH OF PROGRAMS

I NAVY PERSONNEL R AND D CbI'TER /

2 OFC uF NAVAL RESEARCH PENSONNEL AND THAINING RESEARCH PROGRAMS

I NAVAL PERSONNEL H + U CENTLR /

I OFC uF NAVAL RSCH ORGANILATIUNAL EFFECTIVENESS PRO.

I MCFAivN-GRAY * ASSJCIATLS, INC. /

I NAVAL AEROSPACE MEUICAL RSLH LAb AIRBORNE RANGEH RESEARCH

I DEPT. OF NATIONAL DEFENCE DEFENCE ANa CIVIL INSTITUTE OF ENVIR MLI1

I NAVAL AEROSPACL MEDICAL RSLH LAM AERJSPACE PSYCHOLOGY DEPARTMENT

I USA iRADOC SYSTEMS ANALYSIS ACTIVITY ATTi: ATAA-TCA

I HEADQUARTERS, COAST GUARD CHIEF, PSYCHOLOGICAL HSCH BR

I USA tNGINEER TOPOGRAPHIC LABS ATTN: ETL-TO-S

1 USA MOBILITY EUUIQMENT R AND U CUMU ATTN% LRUME-TQ (SCHOOL)

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I NAVY PERSONNEL RSCH + UEVLL CLNTLR ATTN: (CUDE 307)

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I USAAKL LIBRARY

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I HUMRNO LIHRARY

I BATTtLLE REPORTS LIRARY

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I NAFEL LIBRARY, ANA-64

I GRONINGER LIBRAkY ATTN: ATZF-RS-L 8LdG 1313

I CENTtR FOR NAVAL ANALYSIS

I NAVAi HEALTH RSCH CEN LIBRARY

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I H9, aT. HUACHUCA ATTN: TECH WhJ UIV

I USA ACADEMY OF HEALTH bCILNCES bTIMSON LIBRARY (DOCUMENTS)

1 SCHOOL OF SYSTEMS AND LOGISTICS /

1 ERIC PROCESSIN4 AND REFERENCE FAL ACQUISITIONS LIBRARIAN

I DEPARTMENT OF THE NAVY TRAINING ANALYSIS AND EVALUATION GP

I NATIuNAL CENTER FiR HEALTH STATISTICS /

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1 USA LUMMAND ANU GENERAL SlAFF CULLEGE ATTN: LIBRARY

I USA IRANSPORTAIIUN SCHOOL USA TNANSP TECH INFO AND RSCH CEN

I USA mdMINCEN TECHNICAL RLSEARCh 8RANCH LIBRARY

1 USA IELO ARTY Hu /

I NAT LLEARINGHOUSE FOR MENTAL HEALTH IFO PARKLAWN BLDG

I U OF TEXAS CEN FJR COMMU'NICATIUN HSCH

1 INSTITUTE FOR DEFENSE ANALYSES

I USA IRAINING SUPPORT CENTLR ATTN: ATIC-oST-PA

I AFHRL TECHNOLOGY DFC (H)

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I PURDuE UNIV DEPT OF PSYCHOLOGICAL SCIENCES

I USA MOBILITY EUIJIMENT R AND D COUMMAND ATTN: LROME-ZG

1 HQ9 uSA MDw ATTN: ANPL-OL

1 DA Uz ARMY RETRAINING bUE RESEARCH + EVALUATION DIVISION

I DANVILLE RESEARCH ASSOCIAILS9 IN.o

I USA AEROMEDICAL RESEARCH LAB SLILNTIFIC INFORMATION CENTER

I HU4Ai4 RESOURCE MANAGEMENT CEN, SAN DIEGO

I USAFA DEPT OF HLH SCI + LEADERSHIP

I US MILITARY ACADEMY DtPT. Ol' HISTORY, HLOG bOl

I USA INTELLIGENCE CEN AND SCH ATIN: SCHOOL LI8ARY

1 MARIvE CORPS INSIITUTE

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I USAAuS-LIBRARY-I)OCUMLNTS

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I US A"MY ARMOR CENTER ATIN: ATZm-TD-P4O

I USA wUARTERMASIEH SCHOOL DIRECTORATE OF TRAINING DEVELOPMENTS

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I USA INFANTRY SCHOOL LIBRARY /

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I USA INFANTRY SCHUDL ATTN; AlSr-iV

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I US CuAST GUARD ACADEMY LIbRARY

I USA IRANSPORTATION SCHUUL TRANSPOHTAIION SCHOOL LIBRARY

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I US AHMY INTELLIGENCE CENTER + SCHOOL ATTN: ATSI-TP

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1 IIEPAIMENT OF THE NAVY HUMAN RESOURCE MANAGEMENT SCHOOL

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I NAVAL POST GRAUUATE SCHOOL

I HQ T-tADOC TRAINING UEVELUPMENT INSTITUTE

? BRITISH EMRASSY 3RIIISH UEFENCL STAFF

el CA'AuIAN JOINT STAFF

I COLS (W) LI14RAHY

I FRENCH ARMY ATTAC.4E

I AUSTHIAN EMBASbY DEFENSE9 MILITARY ALU AIR ATTACHE

I CANAuIAN UEFENCLE LIAISON bTAFF ATTN; COUNSELLOR, DEFENCE R AND 0

1 ROYAL NETHERLANUS EMBASSY MILITARY ATIACME

I CA'JAuIAN FORCES 6ASE CORNwALLIS ATTN% PERSONNEL SELECTION

? CA4AulAN FORCES PERSUNNtL APPL H5CH UNIT

I ARMY PERSONNEL RLSLANCH LSTAbLISHMENT

6 LIRAHY UF CONURESS EXCHANGL ANU bIFF DIV

I DEFEwSE TECHNICAL INFOHmATION CLN ATFN: UTIC-DDA-2

14o L1IRaRY OF CONUqESS UNIT UOCUOLNTS EXPEDITING PROJECT

I US GuVERNMENT PRINTING OFC LIHRARY, PUBLIC DOCUMENTS DEPARTMENT

I US GuVERNMENT PRINTING uFL LiRAHY A4U STATUTORY, LIB OIV (SLL)

I THE ARMY LIBRAKY ATTN: ARMY STUUIES SLC

3f /

1/ /

NUMBER uF ADDRESSEES 205

TOTAL NuMBER OF COPIES -84.

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